2. Reports

Various reports can be printed at Fund Manager level. Transaction summary reports can be printed on a daily basis or at a regular frequency. This is invariably set up as a scheduled activity of EOD.

Typically, the following users or groups are authorized to access this function:

The reports that are available are:

Transactions Reports

Summary Reports of all transactions can be printed at regular intervals. Also a detailed listing of all the loads that were applied for the transaction can also be generated. The Load Listing report for every transaction gives the breakup of all the loads that were applied for the transaction and the resultant effect on the price and the final units allotted.

Performance Reports

Performance reports of top performing agency branches can be generated. This can be done for a single fund or across funds in the AMC. It can be based on either transaction units or transaction amounts. If the transaction type is not specified, then, by default, IPO Subscription, Subscription and Redemption transactions are taken into consideration.

Fund Data Reports

Fund based reports like Fund Rule, Fund Price and Entity Details can also be printed. Reports based on the loads (Fee / Incentive) can also be generated. Generation of Standing Instructions reminders and printing of Standing Instructions report are also done at Fund Manager level. SI reminder generation is one of the EOD activities.

Unit Holder Reports

This module also does printing of unit holder holdings and unit holder registers.

Checks that are to be given by the Fund Manager to the various entities are also generated.

The list of reports that you can generate, preview and print is as follows:

This chapter contains the following sections:

2.1 Report Parameter Maintenance

This section contains the following topics:

2.1.1 Invoking Report Parameter Maintenance Screen

You can maintain report spool path for each module. The reports will be extracted from the respective folders against each module. The module code and folder names will be defined at this level. You can maintain report parameter using ‘Report Parameter Maintenance’ screen.

You can invoke the ‘Report Parameter’ screen by typing ‘RPDPARAM’ 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:

Module ID

Alphanumeric; 30 Characters; Mandatory

Specify the module ID.

Folder Name

Alphanumeric; 200 Characters; Mandatory

Specify the folder name.

2.2 Report Parameter Maintenance Summary Screen

This section contains the following topics:

2.2.1 Invoking Report Parameter Maintenance Summary Screen

You can invoke ‘Report Parameter Maintenance Summary’ screen by typing ‘RPSPARAM’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

2.2.2 Retrieving Report Parameters

To retrieve a previously entered report parameters:

Click ‘Search’ button after you have specified the required details, all records with the specified details are retrieved and displayed in the lower portion of the screen.

Note

You can also retrieve an individual report parameters from the Detail screen by doing que­ry in the following manner:

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

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

Example

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

2.2.3 Editing Report Parameters

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

2.2.4 Viewing Report Parameters

To view the reports that you have previously entered:

2.2.5 Deleting Report Parameters

You can delete only unauthorized reports in the system. To delete a record:

2.2.6 Authorizing Report Parameters

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

2.2.7 Amending Report Parameters

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

2.2.8 Authorizing Amended Report Parameters

An amended report must be authorized for the amendment to be made effective in the system.

The process of authorization is the same as that of normal authorization process.

2.3 Unit Holder Register Report

This section contains the following topics:

2.3.1 Generating Unit Holder Register Report

This report will also have the provision for printing the mailing labels for the selected unit holders.

This report will print the Unit Holder ID, Name, Address, Contact number, type of investor, country of residence, total holdings, percentage of holdings, etc. This will be printed at the Unit holder’s request.

The input data required from the unit holder are Fund ID's, All Unit Holders/Top <N>, Investor Type. This report will be ordered by Unit Holder ID, Investor Type, Country of Residence, Agent, Holdings, and Zip Code. You can invoke the ‘Unitholder Register’ screen by typing ‘UTR00127’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Totals of Number of Unit Holders, Total of holdings, Percentage of Holdings are computed and printed.

2.3.2 Contents of the Unit Holder Register Report

This report will contain all the unit holder details. It will also contain other details like total holdings and the percentage of the holdings.

Unitholder Register

Fund ID

Alphanumeric; 6 Characters; Optional

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

Domicile

Mandatory

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

Top

Numeric; 22 Characters; Optional

Specify the top N investors.

Unit Holder ID

Alphanumeric; 12 Characters; Optional

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

Date Basis

Mandatory

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

Date

Date Format; Optional

Select the report date from the adjoining calendar.

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.

2.4 Creations/Liquidations Report

This section contains the following topics:

2.4.1 Generating the Creations/Liquidations Report

This report is the creation or liquidations order placed with the trustee by the AMC for each fund. Reports are printed for a given processing date (allocation date) and fund.

The ‘Creation Liq Details’ screen allows you to enter search criteria for the generation of a Creation/Liquidation Trading Report. You can invoke this screen by typing ‘UTR00210’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify the following as mandatory sorting parameters for the generation of the report:

Fund ID

Alphanumeric; 6 Characters; Optional

The fund for which you want to generate the trading report, in the Fund ID field.

Fund Identification Number

Display

The system displays the fund identification number details for the selected fund ID.

Date

Mandatory

The date for which trading data must be retrieved, in the Date field.

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.

2.4.2 Contents of the Creations/Liquidations Report

The following details are displayed:

2.5 G2-G1 Unit Conversion Post Dividend Process Report

This section contains the following topics:

2.5.1 Generating the G2-G1 Unit Conversion Post Dividend Process Report

The system segregates funds into two buckets: Group 1 and Group 2. Set of units which have undergone distribution at least once are termed as ‘Group 1’ unit whereas set of units which are yet to receive any kind of distribution are termed as ‘Group 2’ units. This report shows the units conversion from G2 to G1 units at the transaction level, post distributions. This report also displays the zero distributions of all funds.

The ‘G2 -G1 Unit Conversion Post Dividend Process’ screen allows you to enter the search criteria for the generation of a G2-G1 Unit Conversion Post Dividend report. You can invoke this screen by typing ‘’UTRDG1G2’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

Fund ID

Alphanumeric; 6 Characters; Mandatory

Select the fund ID from the adjoining option list.

Fund Name

Display

On selection of the Fund ID, the name of the fund is displayed in the Fund Name field.

Payment Number

Numeric; 5 Characters; Mandatory

Select the payment number from the adjoining option 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.

2.5.2 Contents of G2-G1 Unit Conversion Post Dividend Process Report

Header Section

Title

Displays the name of the report.

Fund ID

Displays Fund ID for which the report is being generated.

Payment Number

Displays the Payment Number of the selected fund.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID.

Details Section

Date

Displays the date as of which the units were converted.

UH ID

Displays the identification number of the Unit Holder.

UH Name

Displays the name of the Unit Holder.

Fund ID

Displays the fund ID for which the distribution process is complete.

Fund Name

Displays the name of the fund for which the distribution process is complete.

Payment Number

Displays the payment number of the fund for which the distribution process is complete.

Total G1 Units

Displays the total G1 units.

No. of Units moved to G1 bucket as part of distribution process

Displays the number of units moved to the G1 bucket for the selected dividend number.

Transaction Category of Units

Displays the transaction category of units.The following options are displayed:

2.6 Swinging Price Report

This section contains the following topics:

2.6.1 Generating the Swinging Price Report

The Swinging Price for a fund is computed based on the net of sales value. The ‘Swinging Price’ report displays the net of sales value for the allotted transaction.

You can invoke this screen by typing ‘’UTRSPREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button. You can generate a report on Adhoc basis for any date which is less than the application date. The system fetches records based on the specified date and not the current application date.If a future date is selected, then the system displays an error message.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

Family ID

Alphanumeric; 6 Characters; Optional

Select the fund family ID from the adjoining option list. The option list consists of all funds in which the Swinging Price Basis is not Null. You can also select all the fund families by selecting the option All.

Fund ID

Alphanumeric; 6 Characters; Optional

Select the fund ID from the adjoining option list. The option list consists of all funds in which the Swinging Price Basis is not Null. Active funds are only considered.

From Date

Date Format; Mandatory

Select From date from the adjoining calendar.

To Date

Date Format; Mandatory

Select To date from the adjoining calendar.

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.

2.6.2 Contents of the Swinging Price Report

Header Section

Title

Displays the name of the report.

Report Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

Fund ID

Displays the fund ID for which the swinging price report is generated.

Fund Name

Displays the name of the fund associated with the fund ID.

Swinging Price Basis

Displays the Swinging Price Basis associated with the fund such as mid, offer, or bid.

Threshold Basis

Displays the threshold basis as amount or percentage.

Threshold Value

Displays the Threshold Value for the semi swinging price basis fund.

Fund Corpus

Displays the fund corpus which is calculated as:

BOD outstanding units * NAV allocation date

Total Inflow

Displays the total inflow used to calculate the net sales value.

Total Outflow

Displays the total outflow used to calculate the net sales value.

Net Sales

Displays the net sales value which is computed as follows:

Total Inflow - Total Outflow

Price Basis Applied

Displays the price basis applied as offer, mid, or bid.

2.7 Dilution Levy Report

This section contains the following topics:

2.7.1 Generating the Dilution Levy Report

To view all the trades that have attracted dilution levy, you can invoke the ‘Dilution Levy’ report.You can invoke this screen by typing ‘’UTRDLREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button. You can generate a report on adhoc basis for any date which is the current date or less than the application date. If a future date is selected, then the system displays an error message.

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

Fund ID

Alphanumeric; 6 Characters; Mandatory

Specify the fund ID from the adjoining option list. The option list consists of all funds in which Dilution Levy is marked as ‘Yes’.

From Date

Date Format; Mandatory

Select From date from the option list.

To Date

Date Format; Mandatory

Select To date from the option 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.

2.7.2 Contents of Dilution Levy Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

Transaction Date

Displays the transaction date.

Allocation Date

Displays the allocation date.

Fund ID

Displays the fund ID for which the report is generated.

Fund Name

Displays the name of the fund for which the report is generated.

Fund Based Currency

Displays the fund currency.

Fund Corpus

Displays the fund corpus as on the transaction date which is computed as follows:

BOD Outstanding Units * NAV as of transaction allocation date

Unit Holder ID

Displays the identification number of the unit holder.

Transaction Number

Displays the transaction number.

Transaction Type Description

Displays the transaction type.

Ref Type Description

Displays the reference type.

Param Code

Displays the Param Code as S or A. S indicates that dilution levy is applicable to specific transactions and A indicates that dilution levy is applicable for all transactions for the unit holder, fund, and transaction type combination.

Transaction Mode

Displays the transaction mode as Units or Amount.

Transaction Value

Displays the transaction value which is computed as follows:

Units/Transaction Currency + Amount

Breach Amount

Displays the breach amount in the fund based currency.

Gross Amount

Displays the gross amount.

Dilution Levy Amount

Displays the dilution levy amount which is attached to the transaction.

2.8 Creations/Liquidations History Report

This section contains the following topics:

2.8.1 Generating the Creations/Liquidations History Report

This report is the creation or liquidations order history placed with the trustee by the AMC for each fund for three working days prior to the current order date. Reports are printed for a given range of allocation dates and fund.

The ‘Creation Liq History’ screen allows you to enter search criteria for the generation of a Creation/Liquidation Trading History Report. You can invoke this screen by typing ‘UTR00211’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify the following as mandatory sorting parameters for the generation of the report:

From Date and To Date

Date Format; Mandatory

Specify the dates that specify the period between which you want to view the trading history details.

Fund ID

Alphanumeric; 6 Characters; Optional

Specify the fund for which you want to generate the trading history report, in the Fund ID field. If you do not specify any fund, all the funds maintained in the system will be considered.

Fund Identification Number

Display

The system displays the fund identification number.

Days

Numeric; 22 Characters; Optional

Specify the number of days.

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.

2.8.2 Contents of the Creations/Liquidations Report (Trading Box)

Report Heading

Report heading includes the Fund ID, Fund Name, Report From Date and Report To Date.

Status

Displays the status ‘Processed OK’ by default.

Value Date

Displays the price date of the trading record.

Processing Date

Displays the Allocation date of trading record.

Units Created

If the transaction type is of Creation, the number of units created for the day is displayed.

Units Liquidated

If the transaction type is of Liquidation, the number of units liquidated for the day is displayed.

Creation Price

Displays the unit price of trading record.

Liquidation Price

Displays the unit price of trading record.

Amount Created

Displays the trading amount.

Trading amount = Creation Price * Units created

Amount Liquidated

Displays the trading amount

Liquidation Price * Units Liquidated

Units In Issue

Displays the sum total of all units prior to the valuation date of the corresponding trading record for the fund

Client Units

Displays the sum total of all units prior to the valuation date of the corresponding trading record for the fund

Statutory Bal

Displays the balance of unit holder account with account type as “Statutory” in the reporting fund

Unit Inflows

Displays the Net settlement In for trading allocation date.

Unit Outflows

Displays the Net settlement out for trading allocation date

Nett Position

Nett Position = Unit Inflows - Unit Outflows - Trading Balance

Date Captured

Displays the date on which the record was processed.

Captured By

Displays the Maker ID of the creator of the record.

2.9 UCITS-KIID Received Override Report

This section contains the following topics:

2.9.1 Generating the UCITS-KIID Received Override Report

This report is used to check list of Unit holders where the KIID field is selected as ‘Yes’ during Transaction level and the UH level mapping is updated. This includes the system generated transactions for UT and LEP, such as, premiums annuities, recurring switches, periodic fee etc.

You can invoke ‘UCITS-KIID Received Override Report’ screen by typing ‘UTR305’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

From Date and To Date

Date Format; Optional

Specify the dates indicating the UCITS-KIID received override details between from date and to date.

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.

2.9.2 Contents of the UCITS-KIID Received Override Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

UH ID

Displays the unit holder ID.

UH Name

Displays the unit holder Name.

Product ID

Displays the Insurance linked Product ID for ILP transaction.

Policy No

Displays the policy ID of the LEP Transaction.

Fund ID

Displays the UCITS Fund ID for which the flag was over ridden at transaction level.

Fund Name

Displays the fund name.

Transaction Date

Displays the transaction date.

Transaction Type

Displays the type of transactions such as subscription, redemption, policy maintenance etc.

Policy Transaction No

Displays the transaction number for which the KIID was over ridden from No ridden from No to Yes for Policy Transactions.

UT Transaction No

Displays the transaction number for which the KIID was over ridden from No ridden from No to Yes.

Maker Date

Displays the maker date.

Maker ID

Displays the transaction maker ID.

2.10 UCITS-KIID Received SI Report

This section contains the following topics:

2.10.1 Generating UCITS-KIID Received SI Report

This report is used to check lists of Standing Instruction’s where the KIID Flag is made Yes during SI maintenance and the UH level mapping is updated.

You can invoke ‘UCITS-KIID Received SI Report’ screen by typing ‘UTR306’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

From Date and To Date

Date Format; Optional

Specify the dates that specify the period between which you want to view the UCITS-KIID SI history details.

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.

2.10.2 Contents of the UCITS-KIID Received SI Report

Headers Section

Title

Displays the name of the report.

Date Range

Displays the ‘From Date’ and ‘To Date’ for which the report is generated.

Report Generation Date

Displays the application date,

Generated By

Displays the maker ID who has generated this report.

Details Section

UH ID

Displays the unit holder ID.

UH Name

Displays the unit holder Name.

Fund ID

Displays the UCITS Fund ID for which the flag was over ridden at SI maintenance.

Fund Name

Displays the fund name.

SI Start Date

Displays SI Start date.

SI/Plan Ref No

Displays reference number of SI.

Maker Date

Displays the maker date.

Maker ID

Displays the transaction maker ID.

2.11 Share Class Conversion Report

This section contains the following topics:

2.11.1 Generating the Share Class Conversion Report

Share Class report is a fund wise report which displays the total units (including G1/G2 split) which is under conversion on a given day.

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

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

From Fund ID

Alphanumeric; 6 Characters; Optional

Specify the From funds ID. Select the appropriate From fund ID from the adjoining option list.

To Fund ID

Alphanumeric; 6 Characters; Optional

Specify the To Fund ID. Select the appropriate To fund ID from the adjoining option list.

From Date and To Date

Date Format; Mandatory

Specify the dates that specify the period between which you want to view the Share Class conversion history details.

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.

2.11.2 Contents of the Share Class Conversion Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

From Fund

Displays the ‘From Fund’ ID for which the report is generated.

From Fund Name

Displays the name of the fund associated with the fund ID.

To Fund

Displays the ‘To Fund’ ID for which the report is generated.

To Fund Name

Displays the name of the fund associated with the fund ID.

Conversion Factor

Displays the conversion factor value.

Conversion Date

Displays the conversion factor date.

Unit Holder ID

Displays the unit holder ID associated with the fund.

Unit Holder Name

Displays the first name and the last name of the unit holder.

Units under Conversion

Displays the units available for conversion

G1 Units Balance

Displays the G1 units available for conversion.

G2 Units Balance

Displays the G2 units available for conversion.

Converted Units

Displays the units converted after applying the conversion factor.

Converted G1 Units

Displays the G1 Units available post conversion.

Converted G2 Units

Displays the G2 Units available post conversion.

Blocked Units

Displays the details of the blocked units.

Provisional Units

Displays the details of provisional units.

2.12 SI/IDS Conversion Transaction Report

This section contains the following topics:

2.12.1 Generating the SI/IDS Conversions Transaction Report

SI/IDS Conversion Transaction report provides details on the Standing Instructions (SI) and Income Distribution Setup for the fund (From Fund) of all unit holders which have undergone conversion during the given date range.

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

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

From Fund ID

Alphanumeric; 6 Characters; Optional

Specify the From funds ID. Select the appropriate From fund ID from the adjoining option list.

SI Status

Optional

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

From Date and To Date

Date Format; Mandatory

Specify the dates that specify the period between which you want to view the UCITS-KIID SI history details.

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.

2.12.2 Contents of the SI/IDS Conversion Transaction Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

Details Section

From Fund

Displays the ‘From Fund’ ID for which the report is generated.

From Fund Name

Displays the name of the fund associated with the fund ID.

Unit Holder ID

Displays the unit holder ID associated with the fund.

Unit Holder Name

Displays the first name and the last name of the unit holder.

Conversion Date

Displays the conversion transaction date.

SI Number

Displays the Standing Instruction reference number.

SI Status

Displays the status of the standing instructions.

SI Transaction Type

Displays the transaction type as Switch, Subscription, Redemption, or Transfer.

SI Start Date

Displays the From Date of the Standing Instructions.

SI End Date

Displays the To Date of the Standing Instructions.

Frequency

Displays the frequency as any one of the following values:

To Fund ID

Displays the identification number of the fund.

To Fund Name

Displays the name of the selected fund ID.

To UH ID

Displays the unit holder identification number.

IDS Rule Effective Date

Displays the effective date of the income distribution setup rule.

Status

Displays the status as Active/Inactive

Distribution Mode

Displays the distribution mode as Full Payment, Full Re-investment, or Both.

Payment Percentage

Displays the payment percentage.

Re-investment Percentage

Displays the re-investment percentage.

Payment Currency

Displays the currency in which is the payment is made.

Payment Mode

Displays the mode of payment as transfer or check.

Reinvestment UH ID

Displays the unit holder ID for reinvestment.

Reinvestment UH Name

Displays the unit holder name for reinvestment.

Reinvestment Fund ID

Displays the fund ID of reinvestment.

Split Percentage

Displays the split percentage.

2.13 Global Order Report

This section contains the following topics:

2.13.1 Generating Global Order Report

The Global Order report details the list of transactions grouped in a GO and also provides details of a specific transaction appearing under a specific GO. You can invoke this screen by typing ‘UTRGOREP’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify any of the following as mandatory parameters for the generation of the report:

GO Date

Date Format; Optional

Select the Global Order Generation Date from the adjoining calendar.

GO Number

Alphanumeric; 16 Characters; Optional

Specify the GO number. Alternatively, you can select transaction number from option list.

Transaction Number

Alphanumeric; 16 Characters; Optional

Specify the transaction number. Alternatively, you can select transaction number from option 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.

2.13.2 Contents of the Global Order Report

Header Section

Title

Displays the name of the report.

Report as on Date

Displays the application date.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID who has generated the report.

GO Number

Displays the GO generation number.

GO Date

Displays GO generation date.

GO Transaction Type

Displays the GO transaction type as Subscription or Redemption.

AMC ID

Displays the Asset Management ID associated with the Global Order.

Fund ID

Displays the Fund ID associated with the Global Order.

GO Mode

Displays the GO mode as amount or units.

GO Status

Displays the GO status as any one of the following:

GO Confirmed Amount

Displays the confirmed amount.

GO Confirmed Units

Displays the confirmed units.

GO Price Date

Displays the date of the global order pricing.

GO Confirmed Price

Displays the confirmed price as on price date.

Details Section

Transaction Number

Displays the subscription or Redemption transaction number.

Reference Number

Displays the reference number of the related subscription or redemption transaction.

Unit Holder ID

Displays the Unit Holder Identification number.

Transaction Type

Displays the transaction type as subscription or redemption.

Transaction Value

Displays the transaction value as amount or units.

Transaction Date

Displays the subscription or redemption transaction date.

Transaction Category

Displays the transaction category as advised, legacy, or execution

2.14 Hedge Fund Report

This section contains the following topics:

2.14.1 Generating the Hedge Fund Report

Hedge Fund Report displays the details related to a hedge fund, based on the transaction date range and Fund ID using ‘Hedge Fund Report Details’ screen. You can invoke this screen by typing ‘UTR00226’ in the field at the top right corner of the application tool bar and clicking on the adjoining arrow button.

 

In this screen, you must specify any of the following as mandatory parameters for the generation of the report:

Fund ID

Alphanumeric; 6 Characters; Optional

Select the fund ID from the adjoining option list.

From Date and To Date

Date Format; Optional

Specify the dates that specify the period between which you want to view the Hedge fund history details.

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.

2.14.2 Contents of the Hedge Fund Report

The following details related to hedge funds are displayed in the report:

2.15 Back Data Propagation Enquiry Report

This section contains the following topics:

2.15.1 Generating the Back Data Propagation Enquiry Report

The Back Data Propagation Enquiry Report shows the details of the transactions for UT and LEP. You can generate this report by typing ‘UTRPRQRY’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.

 

Propagation Reference Number

Alphanumeric; 16 Characters; Mandatory

Specify propagation reference number. You can also select propagation reference number from the option list.

UnitHolder ID

Display

The system displays the unit holder ID for the selected propagation reference number.

Propagation Date

Display

The system displays the propagation date for the selected propagation reference number.

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.

2.15.2 Contents of the Back Data Propagation Enquiry Report

The system will accordingly generate a report which has the following details:

Refer the chapter ‘Back Data Propagation’ for a detailed list of contents for each section.

2.16 Periodic Commission as on Date Report

This section contains the following topic:

2.16.1 Generating the Periodic Commission as on Date Report

The Periodic Commission as on date report shows the details of mock accruals such as the last run date for a reference number of fund or group of funds.

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

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

Fund/Product/Group

Optional

Select one of the options from the drop-down list. The list displays the following values:

Fund/Product/Group ID

Alphanumeric; 12 Characters; Mandatory

Specify the fund/ product/ group ID. Alternatively, you can select from the option list.

Description

Display

The system displays the description for the selected fund/ product/ group ID.

Reference Number

Alphanumeric; 16 Characters; Optional

Specify the reference number.

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.

Header Section

Title

Displays the name of the report.

Report Generation Date

Displays the application date.

Report From Date

Displays the from date of the report generation ( last accrued min date will be the from date i.e. last accrual date+1.

Report To Date

Displays the To date of the report generation (last accrued max date will be the to date ie less than application date)

Generated By

Displays the maker ID.

Details Section

Reference number/Fund ID/Product ID/Group ID

Displays Trailer Fee Reference ID

Policy Number

Displays Policy Number

Currency

Displays Currency Name

From Entity Type

Displays From Entity Type

To Entity Type

Displays To Entity Type details

From Entity

Displays From Entity details

To Entity

Displays To Entity details.

Holdings

Displays Holdings for the reference ID selected

AUM

Displays Asset under management for the Fund ID/Group ID/ Product ID

Accrued Amount

Displays Accrued Amount

2.17 Stop Codes Report

This section contains the following topic:

2.17.1 Generating the Stop Codes Report

The Stop Code Reports will provide details of all the Stop Codes mapped to the Unit Holder.

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

 

In this screen, you must specify the following as mandatory parameters for the generation of the report:

UnitHolder ID

Alphanumeric; 12 Characters; Mandatory

Specify the unit holder ID.

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

UnitHolder Name

Display

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

Stop Account Code

Alphanumeric; 25 Characters; Mandatory

Specify the stop account code.

Stop Account Description

Display

The system displays the description for the selected stop account code.

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.

Header Section

Title

Displays the name of the report.

Report As On Date

Displays the date as on which date the report is generated.

Report Generation Date

Displays the application date.

Generated By

Displays the maker ID.

Details Section

UnitHolder ID

Displays unit holder ID.

UnitHolder Name

Displays unit holder name.

Stop Code

Displays stop code.

Stop Code Description

Displays stop code description.

Stop Code Reason

Displays stop code reason.

Effective Date

Displays effective date.

Release Date

Displays release date.

2.18 Multi Switch Transaction Error Log Report

This section contains the following topic:

2.18.1 Generating Multi Switch Transaction Error Log Report

You can view multi switch transaction and with errors. The input parameters for the report will be Unit Holder ID, CIF Number, Wrapper Transaction Number, From Date and To Date. This report is a BI report available (in the kernel version).

You can invoke ‘Multi Switch Transaction Error Log Report’ screen by typing ‘UTR00259’ 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:

Unit Holder ID

Alphanumeric; 12 Characters; Optional

Specify the unit holder ID for which the report has to be fetched.

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

CIF Number

Alphanumeric; 12 Characters; Optional

Specify the CIF for which the report has to be fetched.

Wrapper Transaction Number

Alphanumeric; 50 Characters; Optional

Specify the wrapper transaction number for which the details have to be fetched

From Date

Date Format; Optional

Select from date to fetch the details.

To Date

Date Format; Optional

Select to date to fetch the details.

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 error scenarios and system behaviour is as follows:

Sl No

Error

Handling

1

If the out-leg transaction fails to save

System will display an error mes­sage

2

If any of the in –leg transactions generation fails.

System will log the reason for the failure.

3

If any of the in -leg transactions fails to get allotted

System will log the reason for the allocation failure. This case needs to be manually handled.

4

If any of the allocation fails – both out leg and in-leg cases

System will log the reason for the allocation failure. This case needs to be manually handled.

5

Reversing the out-leg transaction before allocation

Subsequent in-leg will not be gener­ated

6

Reversing the out-leg transaction after allocation

System will reverse the in-leg trans­actions as well

7

Reversing of the generated in-leg transaction before allocation

Manually handled at the individual transactions

8

Reversing of the generated in-leg transaction after allocation

Manually handled at the individual transactions

2.19 Bank Reconciliation Report

This section contains the following topic:

2.19.1 Generating Bank Reconciliation Report

You can generate bank reconciliation report using ‘Bank Recon’ screen. You can invoke this screen by typing ‘UTR00219’ 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:

Fund ID

Alphanumeric; 6 Characters; Optional

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

Fund Identification Number

Alphanumeric; 6 Characters; Optional

Specify the fund identification number.

From Date and To Date

Date Format; Mandatory

Specify the dates that specify the period between which you want to view the trading history details.

Report Type

Optional

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

Transaction Type

Optional

Select the type of transaction 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.

2.20 Welcome Letter

This section contains the following topic:

2.20.1 Generating Welcome Letter

You can generate welcome letter using ‘Welcome Letter’ screen. You can invoke this screen by typing ‘UTR00230’ 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:

Unit Holder ID

Alphanumeric; 12 Characters; Optional

Specify the unit holder ID. You can also query for unit holder ID by clicking ‘Find UH’ button.

Date

Date Format; Mandatory

Select the date on when the welcome letter has to be generated from the adjoining calendar.

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.

2.21 Retirement Report

This section contains the following topic:

2.21.1 Generating Beneficiary Form Report

You can generating beneficiary form report using ‘Beneficiary Form Report’ screen. You can invoke this screen by typing ‘UTR00258’ 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:

Fund ID

Alphanumeric; 6 Characters; Mandatory

Specify the ID of the fund, for which you want to view the confirmed transactions on a given business day (or range of dates).

Fund Identification Number

Alphanumeric; 1000 Characters; Optional

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

Unit Holder ID

Alphanumeric; 1000 Characters; Optional

Specify the unit holder 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. The report details are displayed.

2.21.2 Generating Member Record Card

You can generating member record card using ‘Member Record Card’ screen. You can invoke this screen by typing ‘UTR00256’ 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:

Fund ID

Alphanumeric; 6 Characters; Mandatory

Specify the ID of the fund, for which you want to view the confirmed transactions on a given business day (or range of dates).

Fund Identification Number

Alphanumeric; 1000 Characters; Optional

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

Unit Holder ID

Alphanumeric; 1000 Characters; Optional

Specify the unit holder 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. The report details are displayed.

2.21.3 Generating RF Welcome Letter

You can generating RF Welcome Letter using ‘RF Welcome Letter’ screen. You can invoke this screen by typing ‘UTR00250’ 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; Mandatory

The dates that specify the period between which you want to view the broker details, in the From Date and To Date fields.

Fund ID

Alphanumeric; 6 Characters; Optional

Specify the ID of the fund, for which you want to view the confirmed transactions on a given business day (or range of dates).

Fund Identification Number

Alphanumeric; 1000 Characters; Optional

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

Unit Holder ID

Alphanumeric; 1000 Characters; Optional

Specify the unit holder 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. The report details are displayed.

2.22 Dividend Report

This section contains the following topic:

2.22.1 Generating Stock Dividend Report

You can generate stock dividend report using ‘Stock Dividend Report’ screen. You can invoke this screen by typing ‘UTR00310’ 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:

Fund ID

Alphanumeric; 6 Characters; Mandatory

Specify the ID of the fund, for which you want to view the confirmed transactions on a given business day (or range of dates).

Fund Identification Number

Display

The system displays the fund identification number.

Stock Dividend Type

Optional

Select the type of stock dividend from the drop-down list. The list displays the following details:

Status

Optional

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

Processing Date

Date Format; Optional

Select the processing date from the adjoining calendar.

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.

2.23 EFT Report

This section contains the following topic:

2.23.1 Generating EFT Report

You can generate EFT report using ‘EFT Report’ screen. You can invoke this screen by typing ‘UTR00321’ 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:

Batch Number

Alphanumeric; 20 Characters; Mandatory

Specify the batch number. Alternatively, you can select batch number from the option list.

The system 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.