6.2.2 Managing Filing Institution Information

This section provides details about the filing institution that is reporting the suspicious activity. There can be only one filing institution reporting the suspicious activity.

To enter or modify filing institution information, follow these steps:

  1. Go to the Filing Institution Information section.

    Figure 6-1 Filing Institution Information Tab


    Description of Figure 6-1 follows
    Description of "Figure 6-1 Filing Institution Information Tab"

  2. Enter or modify the required information in the fields.

    The following table explains the fields in the Filing Institution Information Tab

    Table 6-1 Fields in the Filing Institution Information Tab

    Fields Description
    Filing Institution Name

    Select the financial institution name from the drop-down list. All the related fields displaying the filing financial institution details get auto-populated on the selection of the Filing Institution name and will display as not editable.

    A firm may have one or more legal entities under which it files regulatory reports. The values available in the Filing Institution Name drop-down are defined by each client during installation. The system administrator enters the data into the database, where it can be selected by the user on the User Interface. This is handled during installation by the Excel upload of data.

    NOTE: If you have not given any value for Filing Institution Name, then the application displays the following message: Filing institution should be present.

    Primary Federal Regulator The primary federal regulator.
    TIN Type The TIN (Taxpayer ID Number) type. For example, Social Security Number (SSN)/Individual Taxpayer Identification Number (ITIN)
    TIN The TIN (Taxpayer ID Number).
    Type of Financial Institution The type of financial institution. For example, a Depository institution.
    Other Description Any additional information about the type of financial institution?
    Type of Securities and Futures Institution The type of securities and futures institution. For example, CPO/CTA, Clearing broker-securities, Futures Commission Merchant, and so on.
    Other Description Any additional information about the type of securities and futures institution?
    Financial Institution ID The ID of the financial institution involved in suspicious activity.
    Financial Institution Identification Type The financial institution identification type. For example, the Central Registration Depository (CRD) number.
    Alternate Name The alternate name of the financial institution.
    Address The address of the financial institution.
    City The city where the financial institution is located.
    State The state where the financial institution is located.
    Postal Code The postal code of the financial institution.
    Country The country where the financial institution is located.
    Filing Institute Contact Office The filing institution’s contact office name.
    Filing Inst Contact Number The filing institution’s contact number.
    Extension

    The extension of the filing institution.

    The values in these fields are auto-populated based on the filing institution name you have selected.
    Internal Control/File Number

    Enter the internal control/file number.

    This is the Case ID from OFS ECM if the reports are auto-generated from OFS ECM. For manually created reports, clients will have the option to provide an internal control/file number to the new report.
    Prior Report Doc Number

    Enter the prior report document number.

    Prior Report Doc Number refers to the unique identifier assigned to a report that has been submitted to the regulatory body. This field is applicable when filing a continuing activity, corrected, or supplemental report on a previously submitted report.

    Select the Unknown check box if the prior report document number is unknown.

    Validations:

    If Prior Report Doc Number is not entered for Corrected, Supplemental, and Continuing Reports, nor if the Unknown check box field has been marked, the application displays the following message: Prior Report Doc Number in Financial Institution Info Tab is mandatory for Corrected, Supplemental or Continuing Reports. Enter the value or check Unknown if the value is not known.

    If you have entered one or more prohibited words in fields Filling Institution Contact Office and Prior Report Doc Number, then the application displays the following message: You are not allowed to enter prohibited words in Filling Institution Contact Office and Prior Report Doc Number. The following words are prohibited: AKA, COMPUTER GENERATED, CUSTOMER, DBA, NON CUSTOMER, NONE, NOT APPLICABLE, OTHER, SAME, SAME AS ABOVE, SEE ABOVE, SEE NARRATIVE, SIGNATURE CARD, T/A, UNKNOWN, VARIOUS, XX.

    Note:

    If you have not entered the values for mandatory fields such as Filing Institution Name, Contact Office, and Contact Number, the application displays the following message: You have not given values for some mandatory fields. Make sure you enter values for mandatory details, i.e., Filing Institution Name, Contact Office, and Contact Number.
  3. Click Save. A confirmation message is displayed.
  4. Click OK. The Filing Institution Information page displays.

NOTE

If you click Reset, the unsaved data is reset to the last saved value in the Filing Institution Information page.

You cannot edit the report details when the report is in View mode. Action buttons, such as Save and Reset, are hidden in the Filing Institution Information tab when the report is in View mode.