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GOTX Back Office Supervisor

GO TX Wealth Management System Chittagong Stock Exchange. GOTX Back Office Supervisor. Trading. Table of Contents. GO TX Overview Registration Administration Brokerage Settlement Accounting Statements Accounting Transactions Stock Accounting Reports. GO TX Overview.

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GOTX Back Office Supervisor

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

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

  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

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