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GOTX Office Supervisor

GO TX Wealth Management System Chittagong Stock Exchange. GOTX Office Supervisor. Trading. Table of Contents. GO TX Overview Registration Monitoring Trading Activity Risk Monitoring Settlement Accounting. GOTX Overview. GO TX System Hierarchy. Multiple participants

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GOTX Office Supervisor

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

  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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