Integration of different applications and solutions is a key area in today’s systems. A variety of specialized applications deployed on disparate platforms and using different infrastructure need to be able to communicate and integrate seamlessly with FCIS, in order to exchange data. FCIS facilitates maintenance of such integration in the following screens:
This chapter contains the following sections:
This section contains the following topics:
You need to maintain an external system that will communicate with FCIS. You can maintain and modify these parameters ‘External System Maintenance’ screen. You can invoke this screen by typing ‘UTDEXSYS’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
The various parameters that can be maintained in this screen are described below.
You can maintain the following parameters here:
External System
Alphanumeric; 15 Characters; Mandatory
Specify a name for the external system. This should be the same as the Source in an incoming message.
Description
Display
The system displays the description for the selected External System.
You can maintain the following parameters here:
Request
Optional
Select a way in which the external system should correlate its request message with the response message, from the adjoining drop-down list. This list displays the following values:
You can maintain the following parameters here:
Request Message
Optional
Select a pattern for the generated request message from the adjoining drop-down list. This list displays the following values:
Note
If you select ‘Full Screen’ as the request message, the response message will also display ‘Full Screen’.
Response Message
Optional
Select a pattern for the generated response message from the adjoining drop-down list. This list displays the following values:
XSD Validation Required
Optional
Check this box if you want to validate the request message against its corresponding XSD.
You can maintain the following parameters here:
Default Response Queue
Alphanumeric; 255 Characters; Optional
Specify a valid response queue name as the default response queue, for each of the ‘In Queue’ through which the External System will communicate with FCIS.
Dead Letter Queue
Alphanumeric; 255 Characters; Optional
Specify a valid queue as dead letter queue to direct the received messages which are non-readable.
Note
If the Dead Letter Queue is not defined, such messages will be redirected to a queue with the name of the request queue appended with ‘_E’.
Register Response Queue Message ID
Optional
Check this box if you want to log the message ID, which is provided by the Response Queue, when a response message is posted into the queue.
You can maintain the following parameters here:
In Queue
Alphanumeric; 255 Characters; Mandatory
Specify the name of the queue from which the messages were received. The name of the queue will help identify the external system.
Note
Response Queue
Alphanumeric; 255 Characters; Optional
Specify a valid response queue to display the queue name on posting a request message into the In Queue, when the External System fails. Response queue can be maintained for every In Queue.
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You can view, modify, delete and authorize External system details in the ‘External System Summary’ screen. You can invoke this screen by typing ‘UTSEXSYS’ 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 actions using this screen.
You can retrieve a previously entered stop code in the Summary screen, as follows:
You can also retrieve the stop code detail from the detail screen by doing query in the following manner:-
You can perform Edit, Delete, Amend, Authorize, Reverse, Confirm operation by selecting from the Action list.
You can also search the record by using combination of % and alphanumeric value.
For example, you can search the record for External System by using the combination of % and alphanumeric value as follows:-
You can view previously entered details of external system in the ‘External System Summary’ screen, as follows:
Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.
You can also search the record by using combination of % and alphanumeric value.
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
You can modify only unauthorized records in the system. To modify a record that you have previously entered:
You can edit External System details as many times as necessary before you authorize it.
You can authorize records in the system. To authorize a record that you have previously entered:
This section contains the following topics:
You can define access rights to an external system using the ‘External System Functions’ screen. You can invoke this screen by typing ‘‘UTDEXFUN’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
You can specify the following details:
External System
Alphanumeric; 15 Characters; Mandatory
Specify an external system for which you wish to provide access rights from the adjoining option list. The adjoining option list displays all the external systems you have maintained at the ‘External Systems Maintenance’ level.
Description
Display
The system displays the description of the specified external system.
Function
Alphanumeric; 8 Characters; Mandatory
Specify a valid function from the adjoining option list. The function are invoked from Gateway Functions.
Action
Display
The system displays an action based on the specified function ID.
Service Name
Display
The system displays the service name based on the specified Function ID and Action.
Operation Code
Display
The system displays Operation Code based on the specified Function ID and Action.
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You can view, modify, delete and authorize external system function details in the ‘External System Functions Summary’ screen. You can invoke this screen by typing ‘UTSEXFUN’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.
You can view previously entered details of external system in the ‘External System Functions Summary’ screen, as follows:
Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.
You can also search the record by using combination of % and alphanumeric value.
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
You can modify only unauthorized records in the system. To modify a record that you have previously entered:
You can edit External System details as many times as necessary before you authorize it.
You can authorize records in the system. To authorize a record that you have previously entered:
This section contains the following topics:
FCIS facilitates maintenance of different media through which advices and messages can be generated. At your bank, you can only receive or route messages through a media that you have maintained in this screen. These specifications can be made only at the main branch and will be applicable to all the branches of your bank.
You can maintain standard media like Mail, Telex and SWIFT and also other media like CHIPS or any other country or customer specific media from which the messages will be routed. You can invoke the ‘Message Media Maintenance’ screen by typing ‘UTDMEDIA’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button
In this screen, you can maintain the following:
Media Code
Alphanumeric; 60 Characters; Mandatory
Specify a unique code to identify the media.
When you want to transit a message through a particular media type, you just have to specify the code assigned to the media type. The message will be routed automatically through the media.
Media Number
Numeric; 1 Character; Mandatory
Specify a unique number with which you want to represent the media.
Description
Alphanumeric; 420 Characters; Mandatory
Specify description for the specified media code. The description will help you identify the code that it represents.
Message Suffix
Alphanumeric; 400 Characters; Optional
Specify padding characters which you want to add to the end of every outgoing message, automatically. The specified padding characters will be inserted, automatically, at the end of every outgoing message in the media.
Message Terminator
Alphanumeric; 400 characters; Optional
Specify padded characters that mark the end of the incoming messages in a media. The system identifies the end of an incoming message, in a file containing several messages, when it encounters the padding characters that you have specified for a media type.
Number of Characters
Numeric; 3 Characters; Optional
Specify the number of times you want to repeat the set of specified padding characters, if you opted to suffix an outgoing message with a set of padding characters.
The padding characters will be suffixed to every outgoing message in the media as many times as you specify.
Media Priority
Numeric; 2 Characters; Mandatory
Specify usage priority for each media type that you maintain. When dispatching messages to customers, the media type used for sending the message will be the one that is higher on the priority rating.
Test Word Required
Optional
Check this option if you want to insert the test word to the telex message manually before it is generated from your branch.
Stop Processing
Optional
Check this box if you want to stop the processing for the incoming and outgoing messages.
Padding Required
Optional
Check this box if you want to add the suffix to the outgoing messages.
XML Message
Optional
Check this box if XML message is required.
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You can view, modify, delete and authorize external system function details in the ‘Message Media Summary’ screen. You can invoke this screen by typing ‘UTSMEDIA’ 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 actions using this screen
You can view previously entered details of external system in the ‘Message Media Summary’ screen, as follows:
Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.
You can also search the record by using combination of % and alphanumeric value.
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
You can modify only unauthorized records in the system. To modify a record that you have previously entered:
You can edit External System details as many times as necessary before you authorize it.
You can authorize records in the system. To authorize a record that you have previously entered:
This section contains the following topics:
The messages that are sent from and delivered to your bank are transmitted and received over sources that are external to FCIS. We shall call these external sources Media Control Systems (MCS).
In a distributed environment, the database of a branch is located in a node or server. The MCS of the messages are also installed in a node. Thus, while defining an MCS, you also need to indicate the node in which it is installed.
An MCS can handle only one media, hence you need to set up several media control systems for the various media types maintained for your bank. Apart from indicating the media type for an MCS, you can also indicate separate directories from which FCIS should read and write incoming and outgoing messages, for a given media.
You can invoke ‘Media Control System Maintenance’ screen by typing ‘UTDMCS’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.
You can maintain the following parameters here:
Node
Alphanumeric; 420 Characters; Mandatory
Specify a node or server at which the MCS is located, from the adjoining option list. A node is the Database instance on which FCIS is installed. A branch’s database is located in a node and an MCS is also installed in a node.
Media Control System
Alphanumeric; 60 Characters; Mandatory
Specify a unique code for MCS to identify the external source. You can follow your own convention for devising this code.
Media
Alphanumeric; 60 Characters; Mandatory
Specify the media for which your bank is using the MCS, from the adjoining option list. The option-list displays the media codes maintained at the ‘Message Media Maintenance’ level.
Status
Optional
Select a valid status of an MCS from the adjoining drop-down list. This list displays the following values:
Delivery Type
Optional
Select a valid type of delivery from the options. The following options are available for selection:
In Directory
Alphanumeric; 512 Characters; Optional
Specify the full path of the directory from which FCIS should read and write incoming message, if you have maintained the Delivery Type as ‘Folder' and the SWIFT server as Windows server.
Out Directory
Alphanumeric; 512 Characters; Optional
Specify the full path of the directory from which FCIS should read and write outgoing message, if you have maintained the Delivery Type as ‘Folder' and the SWIFT server as Windows server.
File Prefix
Alphanumeric; 1 Character; Optional
Specify a unique identifier for the specified MCS to identify the outgoing message files generated in a different media.
Unix-In-Directory
Alphanumeric; 512 Characters; Optional
Specify the full path of the directory on the SWIFT server where you would like to store incoming SWIFT message hand-off files. The system will pickup and process all incoming SWIFT message files from this directory.
Unix-Out-Directory
Alphanumeric; 512 Characters; Optional
Specify the full path of the directory on the SWIFT server where you would like to store outgoing SWIFT message hand-off files.
In Queue
Alphanumeric; 1020 Characters; Optional
Specify the full path of the queue in the node or server into which the MCS should store the incoming message hand-off file, if the Delivery type is Queue. The system will pickup and read all incoming messages transmitted through the specified media from this queue, by default
Out Queue
Alphanumeric; 1020 Characters; Optional
Specify the full path of the queue in the node or server into which the message hand-off file from the system, for the specified media, should be stored. The MCS, which is also located on the same node, will store the outgoing messages in this queue by default.
Unix Swift Server
Optional
Check this box if the SWIFT server at your Bank is on UNIX.
Microsoft Message Queue
Optional
Check this option to select microsoft message queue.
WebSphere Messaging
Optional
Check this option to select websphere messaging.
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You can view, modify, delete and authorize external system function details in the ‘Media Control System Summary’ screen. You can invoke this screen by typing ‘UTSMCS’ 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 actions using this screen.
You can view previously entered details of external system in the ‘Media Control System Summary’ screen, as follows:
Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.
You can also search the record by using combination of % and alphanumeric value.
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
You can modify only unauthorized records in the system. To modify a record that you have previously entered:
You can edit External System details as many times as necessary before you authorize it.
You can authorize records in the system. To authorize a record that you have previously entered:
This section contains the following topics:
FCIS facilitates maintenance of nodes and fields which are amended through external system. You can invoke this screen by typing ‘UTDAMDMT’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
You can maintain the following parameters here:
External System
Alphanumeric; 15 Characters; Mandatory
Select an external system for which amendable maintenance is done, from the adjoining option list.
Operation
Alphanumeric; 50 Characters; Mandatory
Specify the Gateway operation for which Amendable maintenance is done.
Service Name
Alphanumeric; 50 Characters; Optional
Select the service name for which amendable maintenance is done, from the adjoining option list.
Operation Code
Alphanumeric; 50 Characters; Optional
Select the operation code from the adjoining option list.
Node Name
Alphanumeric; 50 Characters; Mandatory
Specify the name of the node which can be amended through external system. The adjoining option list displays the list of nodes.
New Allowed
Optional
Select whether new records can be added in the node or not from the drop-down list. The list displays the following values:
Deleted Allowed
Optional
Select whether existing records can be deleted from the node or not from the drop-down list. The list displays the following values:
All Records
Optional
Select if all records had to be amended or not from the drop-down list. The list displays the following values:
Field Name
Alphanumeric; 50 Characters; Optional
Specify the field name which can be amended through external system. The adjoining option list displays the list of the fields in the node.
This section contains the following topics:
You can view, modify, delete and authorize external system details in the ‘Amendment Maintenance Summary’ screen. You can invoke this screen by typing ‘UTSAMDMT’ in the field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.
You can view previously entered details of external system in the ‘Amendment Maintenance Summary’ screen, as follows:
Click ‘Search’ button to view the records. All records with the specified details are retrieved and displayed in the lower portion of the screen.
You can also search the record by using combination of % and alphanumeric value.
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
You can modify only unauthorized records in the system. To modify a record that you have previously entered:
You can edit External System details as many times as necessary before you authorize it.
You can authorize records in the system. To authorize a record that you have previously entered:
This section contains the following topics:
You can invoke ‘Events’ screen by typing ‘SMREVNLO/ UTREVNLO’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
In this screen, you must specify the following as mandatory parameters for the generation of the report:
User ID
Alphanumeric; 30 Characters; Optional
Specify the user ID. Alternatively, you can select user ID from the option list. The list displays valid user ID maintained in the system.
Start Date
Date Format; Mandatory
Select the start 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.
The system will generate the event logs after specifying the mandatory details.
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You can invoke ‘Events’ screen by typing ‘SMRPEVLG/ UTRPEVLG’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
In this screen, you must specify the following as mandatory parameters for the generation of the report:
User ID
Alphanumeric; 30 Characters; Optional
Specify the user ID. Alternatively, you can select user ID from the option list. The list displays valid user ID maintained in the system.
Start Date
Date Format; Mandatory
Select the start 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.
The system will generate the event logs after specifying the mandatory details.
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You can invoke ‘Integration Parameter Maintenance’ screen by typing ‘IFDINPRM’ 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:
Branch Code
Alphanumeric; 3 Characters; Mandatory
Specify the branch code. Alternatively, you can select the branch code from the option list. The list display all valid branch code maintained in the system.
Param Text
Display
The system displays the description for the selected branch code.
External System
Alphanumeric; 50 Characters; Mandatory
Specify the external system details. Alternatively, you can select the external system details from the option list. The list display all valid external system details maintained in the system.
Param Text
Display
The system displays the description for the selected external system.
Amount Block Validation Required
Optional
Check this box if amount block validation is required.
Offset Required
Optional
Check this box if offset is required.
Offset Netting Required
Optional
Check this box if offset netting is required.
Accounting Netting Required
Optional
Check this box if accounting netting is required.
Allow Force Post
Optional
Check this box if force post is allowed.
Auto Auth
Optional
Check this box if auto authorization is required.
Service Name
Alphanumeric; 100 Characters; Mandatory
Specify the service name.
Communication Channel
Optional
Select the communication channel from the drop-down list. The list displays the following values:
Communication Mode
Optional
Select the communication mode from the drop-down list. The list displays the following values:
Communication Layer
Optional
Select the communication layer from the drop-down list. The list displays the following values:
WS Service Name
Alphanumeric; 250 Characters; Optional
Specify WS Service Name.
WS Port
Numeric; 250 Characters; Optional
Specify WS Port.
WS EndPoint URL
Alphanumeric; 500 Characters; Optional
Specify WS EndPoint URL.
WS User
Alphanumeric; 128 Characters; Optional
Specify WS User.
WS Password
Alphanumeric; 128 Characters; Optional
Specify WS Password.
Custom Classname
Alphanumeric; 255 Characters; Optional
Specify Custom Classname.
ATM Server IP
Numeric; 50 Characters; Optional
Specify the ATM server IP address.
ATM Server Port
Numeric; 50 Characters; Optional
Specify ATM Server Port.
MDB QCF
Alphanumeric; 255 Characters; Optional
Specify MDB QCF details.
MDB Out Queue
Alphanumeric; 255 Characters; Optional
Specify MDB out queue details
MDB Response Queue
Alphanumeric; 255 Characters; Optional
Specify MDB response queue details.
Audit Enabled
Alphanumeric; 2 Characters; Optional
Specify audit enabled details.
Source
Alphanumeric; 20 Characters; Optional
Specify source details.
External DataSource
Alphanumeric; 50 Characters; Optional
Specify external data source details.
Symmetric Key
Alphanumeric; 50 Characters; Optional
Specify symmetric key details.
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Oracle FLEXCUBE Investor Servicing facilitates upload of data from an external source. The details of the source from which data has to be uploaded need to be maintained in Oracle FLEXCUBE Investor Servicing using the ‘Upload Source Maintenance’ screen.
You can invoke the ‘Upload Source Maintenance’ screen by typing ‘SMDSORCE’ 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.
Source Code
Alphanumeric; 15 Characters; Mandatory
Specify a source code from which data has to be uploaded to Oracle FLEXCUBE Investor Servicing.
Description
Alphanumeric; 105 Characters; Mandatory
Specify the description for the source code specified.
Authentication Required
Optional
Check this box to indicate if base data has to be uploaded from Oracle FLEXCUBE Investor Servicing.
This section contains the following topic:
You can retrieve a previously entered record in the Summary Screen, as follows:
Invoke the ‘Upload Source Summary’ screen by typing ‘SMSSORCE’ 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
You can modify the details of Upload Source 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 Upload Source Maintenance screen is closed and the changes made are reflected in the Upload Source Summary screen.
To view a record that you have previously input, you must retrieve the same in the Upload Source Summary screen as follows:
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
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.
After a Upload Source record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:
An amended Upload Source 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.
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You can set preferences for upload of data from an external source in the ‘Source Preferences Maintenance’ screen. You can invoke the ‘Source Preferences Maintenance’ screen by typing ‘SMDUPLDM’ in the field at the top right corner of the Application tool bar and clicking the adjoining arrow button.
The following details are captured here:
Source Code
Alphanumeric; 15 Characters; Mandatory
Select Source Code from the option list. Depending on the source code you select here data is uploaded from that source into Oracle FLEXCUBE IS.
Module Code
Alphanumeric; 2 Characters; Mandatory
You can choose to upload data from a source directly onto a module in Oracle FLEXCUBE IS. Indicate the module into which you would like to upload data from a given source.
On Override
Mandatory
Oracle FLEXCUBE IS generates override messages in case it encounters any discrepancies during data upload. You can choose to do any of the following:
Exception
Mandatory
In case a serious error occurs during data upload, Oracle FLEXCUBE IS generates an error message. You can choose to put the record with the error on hold. If you would like to reject the record altogether, choose ‘Reject’ from the drop-down list.
Status
Mandatory
Select the status post upload from the drop-down list. The list displays the following values:
If you would like to automatically authorize the data that is uploaded into Oracle FLEXCUBE choose the ‘Authorize’ option here.
If you would like the record to be put on hold choose this option in this field.
If you would like the record to be unauthorized, choose the ‘Unauthorized’ option in this field. The record will not be authorized automatically on upload. You will have to manually authorize the data.
Click ‘Function ID Preferences’ button in ‘Source Preferences Maintenance’ screen.
You can specify the following details:
Function
Alphanumeric; 8 Characters; Optional
Specify the function ID. Alternatively, you can also select function ID from the option list. The system displays all valid function IDs maintained in the system.
Status
Optional
Select the status from the drop-down list. The list displays the following values:
On Exception
Optional
Select the on exception details from the drop-down list. The list displays the following values:
On Override
Optional
Select the on override details from the drop-down list. The list displays the following values:
Proceed With EOD
Optional
Check this box to proceed with EOD.
Deleted Allowed
Optional
Check this box if deletion of a record is allowed.
Reverse Allowed
Optional
Check this box if reversal of a record is allowed.
Amend Allowed
Optional
Check this box if amending a record is allowed.
Purge Days
Numeric; 4 Characters; Optional
Specify the number of days to be purged.
Allow Deffered Processing
Optional
Check this box to allow deferred processing.
Allow EOD With Deffered
Optional
Check this box to allow EOD with deferred record.
This section contains the following topics:
You can retrieve a previously entered record in the Summary Screen, as follows:
Invoke the ‘Source Preferences Summary’ screen by typing ‘SMSUPLDM’ 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
You can modify the details of Source Preferences 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 Source Preferences Maintenance screen is closed and the changes made are reflected in the Source Preferences Summary screen.
To view a record that you have previously input, you must retrieve the same in the Source Preferences Summary screen as follows:
You can delete only unauthorized records in the system. To delete a record that you have previously entered:
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.
After a Source Preferences record is authorized, it can be modified using the Unlock operation from the Action List. To make changes to a record after authorization:
An amended Source Preferences 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.
This section contains the following topics:
You can set up notification queue at module level using ‘Notification Enroute Maintenance’ screen. Notification job will look into the SMS data store for any pending activity and depending upon the module code call will be made to respective LOB to build response xml and place it in the maintained notification queue for that module.
You can invoke ‘Notification Enroute Maintenance’ screen by typing ‘UTDNTFEN’ 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. Alternatively, you can select module ID from the option list. The list displays all valid module ID maintained in the system.
Description
Display
The system displays the description for the selected module ID.
Notification Code
Alphanumeric; 30 Characters; Mandatory
Specify the notification code. Alternatively, you can select modification code from the option list. The list displays all valid notification code maintained in the system.
Description
Display
The system displays the description for the selected notification code.
Destination Name
Alphanumeric; 100 Characters; Mandatory
Specify the destination name.
This section contains the following topics:
You can maintain installed notifications using ‘Notifications Installed Maintenance’ screen. You can invoke this screen by typing ‘UTDNTFIN’ in the field at the top right corner of the Application tool bar and click the adjoining arrow.
You can specify the following details:
Branch Code
Alphanumeric; 12 Characters; Mandatory
Specify the branch code. Alternatively, you can select the branch code from option list. The list displays all valid branch code maintained in the system.
Description
Display
The system displays the description for the selected branch code.
Notification Code
Alphanumeric; 120 Characters; Mandatory
Specify the notification code. Alternatively, you can select the notification code from option list. The list displays all valid notification code maintained in the system.
Description
Display
The system displays the description for the selected notification code.
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As per Article 12 of Enforcement Rules of Personal Information Protection Act which is enacted according to Article 55 of the Personal Information Protection Act (‘the Act’), the government agency or the non-government agency will have to take technical or organizational measures for the purpose of preventing personal information from being stolen, altered, damaged, destroyed or disclosed. This includes but is not limited to establishing a mechanism of auditing information security and keeping records of the use, locus information and proof.
You can log audit information to access unit holder/ customer/ transaction and balance related information. The system will store the details of data accessed by the business user for the current day. The data access log covers the following data:
Audit of personnel accessing the above data will stored/ logged and the details are as follows:
The audit log process happens for the following New/ Modify/ Query/ Delete operations for a single record and fetch a single record from summary screen and view in detail screen. You can track actions in audit log in ‘View’ mode for a specific record for:
The system uses ‘PIPA Audit log’ as part of EOD activity to extract the data logged for the current day and for the module logged.
The multi record fetched through summary screen will not be logged; but a single record selected through the summary result will record the log.
You can fetch subscription records through summary screen by selecting a single record and view the record through detail screen.
Any data viewed via Detail screen by clicking Search/ Fetch button like List of values, find UH will not be logged by the system.
Note
All queries irrespective of success or unsuccessful output will be logged as part of audit requirement.
Following are the list of function IDs impacted in the system:
Function ID |
Description |
Audit against the Operations |
UTDCUST |
Customer Maintenance -> Detail |
New/ Modify/ Query/ Delete/ Close/ Reopen |
UTDCADD |
CIF Address -> Detail |
New/ Close/ Query/ Modify/ Reopen |
UTDCFNMP |
CIF Address Fund Map -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen |
UTDCIFLG |
Customer Log -> Customer Log |
New/ Query |
UTDUH |
Unit holder -> Detail |
New/ Copy/ Query/ Modify/ Reopen |
UTDUHBAL |
Unit Holder Balances -> Summary |
Enter Query |
UTDUHCOE |
Unit Holder Currency of Expression -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHDEL |
Unit holder Deal -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHIDS |
UH IDS Setup -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHIOF |
UH IRRF Preference -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHLOI |
UH LOI -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHNPI |
UH NPI Preference -> Detail |
New/ Delete/ Close/ Authorize/Query/ Reopen/ Modify |
UTDUHNTX |
UH Non Tax Limits -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDUHPR |
UH Portfolio Re Adjustment -> Detail |
New/ Delete/ Close/ Authorize/Query/ Reopen/ Modify |
UTDACCLS |
UH Status Change -> Detail |
New/ Delete/ Authorize/ Query/ Modify |
UTDADJ02 |
Transaction -> Adjustment Subscription |
New/ Delete/ Authorize/ Query/ Modify |
UTDADJ03 |
Transaction -> Adjustment Redemption |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXN01 |
Transaction -> IPO Subscription |
New/ Delete/ Authorize/ Reverse Query/ Modify |
UTDTXN02 |
Transaction -> Subscription |
New/ Delete/ Authorize/ Reverse/ Query/ Modify |
UTDTXN03 |
Transaction -> Redemption |
New/ Delete/ Authorize/ Reverse/Query/ Modify |
UTDTXN04 |
Transaction -> Switch |
New/ Delete/ Authorize/ Reverse/Query/ Modify |
UTDTXN05 |
Transaction -> Transfer |
New/ Delete/ Authorize/ Reverse/Query/ Modify |
UTDTXN06 |
Transaction -> Block |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXN07 |
Transaction -> Un-Block |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXN08 |
Transaction -> Consolidation |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXN09 |
Transaction -> Split |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXN10 |
Transaction -> Reissue |
New/ Delete/ Authorize/ Query/ Modify |
UTDTXNEE |
Transaction -> Enrich Exchange Rate |
Query |
UTDTXNLT |
Transaction -> Light Weight Transaction |
New/ Authorize/ View/ Query |
UTDCNVTX |
Transaction -> Conversion |
New/ Delete/ Authorize/ Query/ Modify |
UTDAMT06 |
Amount Block -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
UTDAMT07 |
Amount Un-Block -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
UTDCOMCL |
Tax Compliance -> Classification |
New/ Delete/ Authorise/ Query/ Modify |
UTDDCTRO |
UH Dividend Component Override -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
UTDFATMT |
FATCA -> Entity FATCA Classification |
New/ Delete/ Authorize/ Query/ Modify |
UTDFNBAL |
Investor fund Balance -> Summary |
Query |
UTDFNENT |
Fund Entity -> Detail |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
UTDKYCCD |
KYC Chasing Details -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
UTDOLT |
One Legged Transfer -> Detail |
New/ Query |
UTDPRQRY |
Back Data Propagation -> Propagation Enquiry |
Enter Query |
UTDPRTXN |
Back Data Propagation -> UT Transaction |
New/ Delete/ Authorize/ Query/ Modify |
UTDROPUT |
Back Data Propagation -> UT Propagation |
New/ Authorise/ Query |
LEDPROSI |
Back Data Propagation -> LEP Propagate SI |
New/ Delete/ Authorize/ Query/ Modify |
LEDPRTXN |
Back Data Propagation -> LEP Transaction |
New/ Delete/ Authorize/ Query/ Modify |
UTDRTAIO |
RTA Transfers -> Detail |
New/ Query |
UTDSCADH |
Share Class Adhoc Conversion -> Detail |
New/ Delete/ Close/ Authorise/Query/ Modify/ Reopen |
UTSCOINQ |
Queries -> Consolidated Enquiry |
View |
LEDPLAN |
LEP Online -> Policy |
New/ Delete/ Close/ Authorise/Query/ Reopen/ Modify |
LEDPLCES |
LEP Maintenance -> Policy Cession |
New/ Delete/ Reverse/ Authorise/Query/ Modify |
LEDPLREV |
LEP Online -> Policy Reversal |
New/ Delete/ Authorise/ Query/Modify |
LEDPLSUR |
LEP Online -> Policy Surrender |
New/ Delete/ Reverse/ Authorise/Query/ Modify |
LEDPLSWI |
LEP Online -> Policy Switch |
New/ Delete/ Reverse/ Authorise/Query/ Modify |
LEDPLTOP |
LEP Online -> Policy Top Up |
New/ Delete/ Reverse/ Authorise/Query/ Modify |
UTDATREP |
Auth Rep Maintenance -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
UTDENTMN |
Single Entity Maintenance -> Detail |
New/ Delete/ Authorise/ Query/ Modify |
The SMTB_SMS_LOG and SMTBS_SMS_ACTION_LOG tables will log the audit information and hence the system will purge/ archive the data of these two data stores.
Note
After EOD, the system will store the audit logging details in PIPAAUDITPROCESSTBL. The purging will happen in PIPAAUDITPROCESSTBL table.