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

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
System Administrator
The 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 hierarchy
Risk 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 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
You need to change the password at first login
The 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 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
The client fills in the registration form manually or online
For the manual requests, broker makes online requests
The investor is assigned a dealer from office specified in his request
Dealers contact the clients and obtain their Bank, DP and identification details
The supervisor verifies and record the data in database
Once the back office supervisor approves the request, the client becomes an investor

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
This screen lists the investors. Data can be filtered according to supervisor level, office wise or investor wise.
View investor profile
Add investor
Add products to existing investor

15. Monitoring Trading Activity

16. Logon Monitor Drill down views All those logged into GO TX
Office
Individuals
Logon history
All those logged into GO TX
Investors
Employees
Application type
Browser logins
DWS logins
This screen is used to view the number of investors and users logged into goTX
The 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 office
Data will be displayed according to the level of the user logged-on user
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
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 investors
Orders placed through GO TX
Current status of active orders
Final Status of inactive orders
Historic 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 for
Traded orders
Average traded price
Historic data
Download to file
Screen view
Dealer Trades
All 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 trades
Equity Trades for
Aggregated for exchange
Drill-down from exchange to investor
Turnover and number of trades

21. Brokerage MIS Brokerage charges Views Group data according to:
Displays the brokerage charges for the investor
Office View: Consolidated brokerage for various levels in broker’s office hierarchy
Investor View: Brokerage charges for the investor
Brokerage charges
Views
Office (drill-down)
Investor
Group data according to:
Settlement number
Date
Scrip
Brokerage scheme

22. Top Brokerage Highest contributors towards brokerage
Displays the top contributors towards the brokerage
View the top offices and investors
The top contributors can be viewed for Equity, Equity Derivative and Currency Derivatives
Can view up to top 50 performers.
Highest contributors towards brokerage
Offices
Investors
Computed 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 tax
Details can be viewed either investor wise or office wise
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
Trading 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 Broker
Margin 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 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
This 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.

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
Contract note is a document confirming the trades for and behalf of an investor
For 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 performed
View a corporate action
Add a corporate action
Modify a corporate action
Delete a corporate action
Cash Benefit
Add
View details
Stock Effect

32. Accounting

33. Client Receipts Lists the cheques submitted by investor to the broker
This screen lists the cheques submitted by investors to the brokers
This details will be given to the back office either online or through a file
The back office process and either accepts or rejects the cheque
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
This screen displays the withdrawal requests of the investors.
This details will be given to the back office either online or through a file
The back office process and either accepts or rejects the cheque
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 Views Parent Ledger Account
Child Ledger Account
Views
Summary view
Detailed view
This 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 the
Participant
Region
Office
Market views for Equity
Itemized statement listing the total assets and total liabilities
To view the networth of the participant, region or an office at any given time
Can 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 accounts
Market view for Equity
The trial balance lists the debit balance and credit balance accounts
Trial balance can be viewed for participant, region or an office
Can 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 balance
Types of receivables
Client receivables
Client margin held
Investor shortage
Client interest charges
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
Provides a list of investors who have an account payable balance
Type of client payables
Client Payables
Investor cash book
Investor membership
Prepaid brokerage
Online cash book

41. General Ledger View general ledger of all accounts
To view the general ledger of a particular account
All accounts maintained at office have general ledgers
View general ledger of all accounts
View for a level or an office