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GOTX Office Supervisor Trading GO TX Wealth Management System Chittagong Stock Exchange.

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Presentation on theme: "GOTX Office Supervisor Trading GO TX Wealth Management System Chittagong Stock Exchange."— Presentation transcript:

1 GOTX Office Supervisor Trading GO TX Wealth Management System Chittagong Stock Exchange

2 Table of Contents GO TX Overview Registration Monitoring Trading Activity Risk Monitoring Settlement Accounting

3 GOTX Overview

4 GO TX System Hierarchy Multiple participants Hierarchy of offices for each participant Only one office at the top level (the Head or National Office) Multiple offices at subsequent levels

5 GO TX System Hierarchy Participant defines the number of levels in the hierarchy 3 Default levels: National Regional Branch

6 Users Employees are termed ‘Users’ Each user is associated with an office Types of users Dealers Office Supervisor at each office hierarchy level National Level Regional Level Branch Level Risk Supervisor Head office only Back Office Supervisor Head office only System Administrator Head office 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 data Regional Supervisor: Displays data of regional office and all branches in the region National Supervisor: Displays data of the entire participant My Office - Displays the data of the office to which logged-in supervisor belongs Other - Displays the data of a particular office e.g. Branch Supervisor: will be able to select branch office ID only Regional Supervisor: will be able to select any branch in the region National 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 disabled Multiple roles for an employee Scope of users’ authority is restricted

9 Log on Access through User ID and Password Restricted number of attempts Automatic session expiry

10 Change Password Force Change of Password on first time logon Reset password to be requested in case of expiry

11 Registration

12 Client Registration Client Fills in the Application Personal Detail (Name and Address) Identification Detail – Image upload Signature Proof Signed Form for Depository Account Nomination Detail Supervisor Verification of Client Detail Entry in CDBL System Upload 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 selected Head office assigned if office not selected Unique registration number assigned

14 Investor Maintenance View list of investors View investor profile Investor information Personal information Bank information Depository information Identity proof information Photo card identity information Add investor Update Investor profile Add products to existing investor

15 Monitoring Trading Activity

16 Logon Monitor All those logged into GO TX Investors Employees Application type Browser logins DWS logins Drill down views Office Individuals Logon history

17 Trade Monitor Trading activity through GO TX Investors and dealers Drill-down from participant-level to investor-level

18 Order Book Equity Orders for all investors Orders placed through GO TX Current status of active orders Final Status of inactive orders Historic data

19 Trade Book Historic data Download to file Screen view Dealer Trades All trades All Equity Trades for Traded orders Average traded price

20 Trade Summary Equity Trades for Aggregated for exchange Drill-down from exchange to investor Turnover and number of trades

21 Brokerage MIS Brokerage charges Views Office (drill-down) Investor Group data according to: Settlement number Date Scrip Brokerage scheme

22 Top Brokerage Highest contributors towards brokerage Offices Investors Computed for a date range

23 Levies and Taxes Aggregation of levies and taxes Views Investor view Office view (drill-down)

24 Client Views Order Book Trade Book Positions Margin Statement Cash statement Stock Statement Payin Payout Statement Networth

25 Risk Monitoring

26 Investor Risk Parameters View only for Office Supervisor Delivery Trading Factor Stocks in BEN account used for Margin Cash Receivable used for Margin Allow cash withdrawal Stock Margin allowed for Delivery Credit Margin allowed for Delivery Ignore Margins for Institutional positions

27 Client-wise MTM MTM updated real-time Monitor MTM at office level and investor level Drill down from office level to investor level Stock-wise view per investor available

28 Credit Risk - Credit Audit Lists investors with additional credit Supervisor who granted/ decreased credit Amount of increase/ decrease

29 Settlement

30 Contract Notes Summary of all contract notes available Document confirming the trades for and behalf of an investor in equities Generated for each settlement type for equities

31 Corporate Actions List of Corporate Actions from the exchange Operations performed View a corporate action Add a corporate action Modify a corporate action Delete a corporate action Cash Benefit Add View details Stock Effect Add View details

32 Accounting

33 Client Receipts Lists the cheques submitted by investor to the broker Back office process the cheques and accepts / rejects them A Supervisor can add a receipt

34 Client Withdrawals Cash withdrawal requests of investors Back office process the cheques and accepts / rejects them. A supervisor can add a payment

35 Statements Client Ledger General Ledger Ageing Report Balance sheet Trial Balance Receivables Payables

36 Client Details Details of ledger accounts Parent Ledger Account Child Ledger Account Views Summary view Detailed view

37 Balance Sheet Lists the total assets and liabilities View the networth of the Participant Region Office Market views for Equity

38 Trial Balance Trial Balance of the participant Lists the debit balance and credit balance accounts Market view for Equity

39 Receivables Lists investors who have account receivable balance Type of receivables Client receivables Client margin held Investor shortage Client interest charges

40 Payables Lists investors who have account payable balance Type of payables Client payables Investor cash book Investor membership Prepaid brokerage Online cash book

41 General Ledger View general ledger of all accounts View for a level or an office

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