4 GO TX System Hierarchy Multiple participants Hierarchy of offices for each participantOnly one office at the top level (the Head or National Office)Multiple offices at subsequent levels
5 GO TX System HierarchyParticipant defines the number of levels in the hierarchy3 Default levels:NationalRegionalBranch
6 Users Employees are termed ‘Users’ Each user is associated with an officeTypes of usersDealersOffice Supervisor at each office hierarchy levelNational LevelRegional LevelBranch LevelRisk SupervisorHead office onlyBack Office SupervisorSystem AdministratorThe employees of the broker are referred as users.The type of users are: Dealers, Office Supervisor, Risk Supervisor, Back Office Supervisor and System Administrator.Office Supervisor can be created at national, regional and branch levels of hierarchyRisk supervisor, Back office supervisor and system administrator can be created at head office level only.
7 Levels Supervisor screens have three levels of viewing My Level - Displays the data of logged-in supervisor and offices below e.g.Branch Supervisor: Displays only branch dataRegional Supervisor: Displays data of regional office and all branches in the regionNational Supervisor: Displays data of the entire participantMy Office - Displays the data of the office to which logged-in supervisor belongsOther - Displays the data of a particular office e.g.Branch Supervisor: will be able to select branch office ID onlyRegional Supervisor: will be able to select any branch in the regionNational Supervisor: will be able to view any office of the participant
8 GOTX System Hierarchy Pre-defined set of facilities for each role Facilities may be enabled or disabledMultiple roles for an employeeScope of users’ authority is restricted
9 Log on Access through User ID and Password Restricted number of attemptsAutomatic session expiry
10 Change Password Force Change of Password on first time logon You need to change the password at first loginThe password should be between 6 and 12 characters.The password should contain at least one number and one special character.Previous passwords cannot be used.The password validity and number of re-try attempts is decided by the broker.The password needs to be changed on expiry.The password can be changed before expiry too, for your security purposes.Force Change of Password on first time logonReset password to be requested in case of expiry
12 Client Registration Client Fills in the Application Personal Detail (Name and Address)Identification Detail – Image uploadSignature ProofSigned Form for Depository AccountNomination DetailSupervisor Verification of Client DetailEntry in CDBL SystemUpload from CDBL system to GO TX
13 Registration Form Online or Manual Manual form to be fed into system Office nearest to investor to be selectedHead office assigned if office not selectedUnique registration number assignedThe client fills in the registration form manually or onlineFor the manual requests, broker makes online requestsThe investor is assigned a dealer from office specified in his requestDealers contact the clients and obtain their Bank, DP and identification detailsThe supervisor verifies and record the data in databaseOnce the back office supervisor approves the request, the client becomes an investor
14 Investor Maintenance View list of investors View investor profile Investor informationPersonal informationBank informationDepository informationIdentity proof informationPhoto card identity informationAdd investorUpdate Investor profileAdd products to existing investorThis screen lists the investors. Data can be filtered according to supervisor level, office wise or investor wise.View investor profileAdd investorAdd products to existing investor
16 Logon Monitor Drill down views All those logged into GO TX OfficeIndividualsLogon historyAll those logged into GO TXInvestorsEmployeesApplication typeBrowser loginsDWS loginsThis screen is used to view the number of investors and users logged into goTXThe split count of browser logins and DWS logins can be viewed.The information is presented at office level first, then drills down to individual view.The logon history for individuals can be seen.
17 Trade Monitor Trading activity through GO TX Investors and dealers Provided the supervisor a consolidated view of the trading patterns in the officeData will be displayed according to the level of the user logged-on userTrading activity through GO TXInvestors and dealersDrill-down from participant-level to investor-level
18 Order Book Equity Orders for all investors Orders placed through GO TX Data displayed only for 2 days.Historic data can be viewed only after market hours.All orders expire at the end of the day.Equity Orders for all investorsOrders placed through GO TXCurrent status of active ordersFinal Status of inactive ordersHistoric data
19 Trade Book All Equity Trades for Traded orders Average traded price Data displayed only for 2 days.Historic data can be viewed only after market hours.All Equity Trades forTraded ordersAverage traded priceHistoric dataDownload to fileScreen viewDealer TradesAll trades
20 Trade Summary Equity Trades for Aggregated for exchange The result displayed depend upon the level of the logged in supervisor.A summary of all trades is displayed.Data is displayed separately for NSE and BSE.From the offices displayed, you can drill down to investor level to see the individual tradesEquity Trades forAggregated for exchangeDrill-down from exchange to investorTurnover and number of trades
21 Brokerage MIS Brokerage charges Views Group data according to: Displays the brokerage charges for the investorOffice View: Consolidated brokerage for various levels in broker’s office hierarchyInvestor View: Brokerage charges for the investorBrokerage chargesViewsOffice (drill-down)InvestorGroup data according to:Settlement numberDateScripBrokerage scheme
22 Top Brokerage Highest contributors towards brokerage Displays the top contributors towards the brokerageView the top offices and investorsThe top contributors can be viewed for Equity, Equity Derivative and Currency DerivativesCan view up to top 50 performers.Highest contributors towards brokerageOfficesInvestorsComputed for a date range
23 Levies and Taxes Aggregation of levies and taxes Views Investor view Consolidated view of the STT, SEBI fees, Stamp duty and turn over taxDetails can be viewed either investor wise or office wiseAggregation of levies and taxesViewsInvestor viewOffice view (drill-down)
24 Client Views Order Book Trade Book Positions Margin Statement Cash statementStock StatementPayin Payout StatementNetworth
26 Investor Risk Parameters View only for Office SupervisorDelivery Trading FactorStocks in BEN account used for MarginCash Receivable used for MarginAllow cash withdrawalStock Margin allowed for DeliveryCredit Margin allowed for DeliveryIgnore Margins for Institutional positionsTrading factors used in deciding the margin held.Trading limit available will depend on the trading factors.Percentage of stock value provided as margin depends on the BrokerMargin held for short sell is also set by the Broker.
27 Client-wise MTM MTM updated real-time Monitor MTM at office level and investor levelDrill down from office level to investor levelStock-wise view per investor available
28 Credit Risk - Credit Audit Lists investors with additional creditSupervisor who granted/ decreased creditAmount of increase/ decreaseThis screen shows you the list of investors to whom additional credit has been given or reduced for the current day.The supervisor who has either granted or removed additional credit is displayed along with the code of the investor and the amount.
30 Contract Notes Summary of all contract notes available Document confirming the trades for and behalf of an investor in equitiesGenerated for each settlement type for equitiesContract note is a document confirming the trades for and behalf of an investorFor equities one contract note is generated for each settlement, in each exchange.For derivatives only one contract note is generated for all the trades in a day.
31 Corporate Actions List of Corporate Actions from the exchange Operations performedView a corporate actionAdd a corporate actionModify a corporate actionDelete a corporate actionCash BenefitAddView detailsStock Effect
33 Client Receipts Lists the cheques submitted by investor to the broker This screen lists the cheques submitted by investors to the brokersThis details will be given to the back office either online or through a fileThe back office process and either accepts or rejects the chequeLists the cheques submitted by investor to the brokerBack office process the cheques and accepts / rejects themA Supervisor can add a receipt
34 Client Withdrawals Cash withdrawal requests of investors This screen displays the withdrawal requests of the investors.This details will be given to the back office either online or through a fileThe back office process and either accepts or rejects the chequeCash withdrawal requests of investorsBack office process the cheques and accepts / rejects them.A supervisor can add a payment
36 Client Details Details of ledger accounts Views Parent Ledger Account Child Ledger AccountViewsSummary viewDetailed viewThis screen is used to view the summarized and detailed view of the parent ledger accounts and their sub accounts.
37 Balance Sheet Lists the total assets and liabilities View the networth of theParticipantRegionOfficeMarket views for EquityItemized statement listing the total assets and total liabilitiesTo view the networth of the participant, region or an office at any given timeCan be viewed for equity, equity derivative and currency derivative markets separately
38 Trial Balance Trial Balance of the participant Lists the debit balance and credit balance accountsMarket view for EquityThe trial balance lists the debit balance and credit balance accountsTrial balance can be viewed for participant, region or an officeCan be viewed for equity, equity derivative and currency derivative markets separately
39 Receivables Lists investors who have account receivable balance Provides a list of investors having an account receivable balanceTypes of receivablesClient receivablesClient margin heldInvestor shortageClient interest chargesLists investors who have account receivable balanceType of receivablesClient receivablesClient margin heldInvestor shortageClient interest charges
40 Payables Lists investors who have account payable balance Type of payablesClient payablesInvestor cash bookInvestor membershipPrepaid brokerageOnline cash bookProvides a list of investors who have an account payable balanceType of client payablesClient PayablesInvestor cash bookInvestor membershipPrepaid brokerageOnline cash book
41 General Ledger View general ledger of all accounts To view the general ledger of a particular accountAll accounts maintained at office have general ledgersView general ledger of all accountsView for a level or an office