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

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

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

2 Table of Contents GO TX Overview Registration Administration Brokerage Settlement Accounting Statements Accounting Transactions Stock Accounting Reports

3 GO TX 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 referred to as ‘Users’ 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 Back office supervisor screens have three levels of viewing My Level: Displays the data of the logged-in back office supervisor and offices below. i.e. Results for all offices of the participant is displayed. My Office: Displays the data of the office to which the back office supervisor belongs. i.e. Results for the participant’s head office alone is displayed. Other: Displays the data of a particular office, by selecting an Office ID. i.e. Results for a particular office of the participant is displayed.

8 GO TX 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 Registration Monitor Consolidates registration requests: In Progress Activated Rejected Drill-down from Head Office to Dealer

15 Registration Approval Registration requests Client additional requests Request Status Request history Verification Details

16 Ageing Report Processing time of a request View by duration Viewed for Office Dealer Date range

17 Password Print Print encrypted passwords Verification process complete Password printed on carbonized stationery Password mailed next morning Investor is activated

18 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 details

19 Investor Activation

20 Administration

21 BO Calendar List of working days in a month for BO and exchange Half days and holidays also displayed

22 Client Support Orders Book Trade Book Limits Cash Statement Stock Statement Payin/payout statement Networth Positions

23 Brokerage

24 Overview Brokerage category assigned for each investor Category contains brokerage plans for Equity trades in the following: Each plan associated with a scheme Plan may contain slabs

25 Overview Investor-level Overrides may be set for Category Stock / Underlying Discount Expiry Plan-level Overrides may be set for Basket

26 Brokerage Master Brokerage schemes pre-defined Create new plans Add / Update slabs Set basket override

27 Brokerage Category Add brokerage category Add scheme and plan to brokerage category Update brokerage category Delete brokerage category

28 Brokerage Override Override brokerage schemes Set for Investor category Stock Override can be removed or cancelled

29 Tax View Percentage of taxes levied by the exchange Howla Laga Charges Advance Income Tax

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

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

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

33 Brokerage Recompute Reset the brokerage Recompute the brokerage

34 Settlement

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

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

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

38 Net Position Consolidated Trade Position Aggregated for Investor Stock (drill-down) Displayed for a trade date

39 Trade Modification Trade modification requests Option to change the investor code Audit trail to track changes

40 Accounting Statements

41 GL Master Groups List of master groups Add / Update / Delete groups Change sequence of groups

42 GL Bank Map List of GL accounts related to banks Add new bank detail View details of each bank

43 Chart of Accounts List of accounts maintained in GO TX Types of accounts – Bank, Assets, Liabilities

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

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

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

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

48 Bank Book Lists the broker’s bank accounts Separate accounts for every product Check the current balance in a account

49 Voucher Details Displays details of a voucher Account code Investor/ Office code Transaction description Debit/ Credit Reference details Bank account Reversal date and number

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

51 Client Ledger Displays all investor accounts Details of ledger accounts for an investor or range of investors Link to voucher details for each entry

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

53 Combined Ledger Display for a single investor or range of investors Single date or a range of dates

54 Sub Ledger Party Master View the list of parties associated with each sub ledger View the details of each party Add / Delete parties for a sub ledger

55 Sub Ledger Master Specific to a participant Addition / Deletion by HO only; view for others Add / Delete new sub ledger View party details for the sub ledger

56 Equity Changes

57 Cash Flow Statement

58 Accounting Transactions

59 Client Deposits Post ledger entries for cheques cleared on behalf of the investor Reflects cheques received into participant’s bank account

60 Client Payments Post entries related to investor’s cheque payments Reflect cheques issued from participant’s bank account

61 Journal Entry Post a journal entry Double entry system

62 Bank Transfers Post entries Cheques issued from participant’s bank account Cheques received into participant’s bank account Fund transfers Cheque returns Cheque cancellation

63 Bank Reconciliation Lists discrepancy between bank books and GO TX bank book Reconcile bank books with GO TX bank book

64 Accounting Period Displays the accounting period Displays audit status for the year View audit status for groups General Equity

65 Voucher Types


67 Client Receipts Lists the cheques submitted by investor to the broker Back office process the cheques and accepts/ rejects them

68 Client Withdrawals Lists the cheques submitted by investor to the broker Back office process the cheques and accepts / rejects them

69 Cheque Print Facility to print cheques for client payments PDF file generated that can be printed on pre-printed stationery

70 Stock Accounting

71 Pay In View stock owed to Investors Exchange

72 Auction Rate Shows auction rate for given settlement type and date

73 Reports

74 Report Types Stocks Scrip Ledger Inward & Outward Register Trades Institutional Trades Turnover Report Trade Confirmation Client Trade Analysis Contract Register Sauda Book Client Trade Summary

75 Reports Settlements Valan Report Ageing report Client Statements of Account Auction Square Off Client Position Summary Compliance STT Year End Report Client Account Statement Client Margin Funding

76 Reports Accounts Receipts & Payments Rec/Pay Voucher Voucher Report Bank Register Journal Register Branch Control Account Register Creditor/Debtor Trial Balance Cheque No Details Cash Book

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