GO TX Risk Supervisor Trading

1. GO TX Wealth Management System Chittagong Stock Exchange Ltd GO TX Risk Supervisor Trading

2. Table of Contents • GO TX Overview • Monitoring Trading Activity • Risk Planning • Monitoring Risk • Tracking and 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. Log on • Access through User ID and Password • Restricted number of attempts • Automatic session expiry

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

7. Monitoring Trading Activity

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

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

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

11. Trade Book • All Equity Trades for • Traded orders • Average traded price

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

13. Risk Planning

14. System Risk • Global level parameters • Applicable for all investors for a participant • Parameter value can be changed after trading hours • No t all parameters are applicable for CSE

15. Credit Risk - Credit Maintenance • View the credit limit of an office or range of offices • Increase credit • Decrease credit

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

17. Exchange Risk • Margin for the participant • Provided by Exchange • Parameters • Gross exposure limit • VAR limit • Trading turnover limit

18. Equity Group Risk • Risk parameters defined for a group of stocks • Add stock group • Set risk parameters for each group • Cannot be updated during trading hours

19. Investor Category Risk • Categories pre-defined in the system • Parameters defined for a category • Each investor assigned a category • Category parameters can be modified

20. Investor Risk • Override the risk category for an individual • Set parameters for the individual • Provide additional credit • Change an investor’s category

21. Dealer Risk • Mandatory for each dealer • Limits set on • Buy/Sell exposure • Gross exposure • Net exposure

22. Monitoring Risk

23. 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

24. POA Increment • Increment or decrement stock for investors • Pending requests can be deleted or processed • Processing requests updates the Demat balance

25. Tracking and Reports

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

27. Bulk Cancellation • Cancel orders in bulk for • Investor • Dealer • Office • Select • Segment • Symbol • Side • Board

28. Report Types Order Report Trades Report