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BRD/FRS Pre-requisites Step No Test Steps
Verify DR Life Cycle .
1 1 Login into the adrbnyapps.com application.
2
3 Click on Master File
4 Click on Profile Link
TestCase ID
TESTScenario
DR Should be created first withLevel I and all the approvals shouldbe done. Please execute CreateDR Level I Sponsored Test case
from DR Profile Test case List.
Upgrade DR from Level I toLevel II
For all the test cases:If the user is prompted to entereither DR documentation, Issuerdocumentation , Sec Filinginformation or any otherinformation then the same can bereferred from any other test casewhich has the steps for the samebecause this is specific to the DR
chosen(Bny,non Bny etc) by theuser and is not common for all. Thesame holds good for the respectiveapprovals.
Enter the Valid User ID and Password andclick Login
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5 Click on DR Link
6
7
Enter the search values in the followingmanner.
Select DR Name :Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergoneDR life cycle already)
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9
10
11 Click Ok ,Save and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
14
Select Upgrade and Click Create New DR
(Note But the Status need to be changed toEffective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008]
Select the Type as Primary and then click on
CUSIP Question Mark
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17 Click on Create/History Tab
18
19
20 Click Cancel button
21 Click DR Documentation
22 Click Cancel
23
Select the exchange from the question markand click save.
NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..
Go to Details Tab and Change the status asEffective and click save
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank
7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None
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25
26
27
28 Click on DR [DR Name]
29 Click Cancel
30
31 Click on Issuer [Issuer Name]
32 Click Cancel
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
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37
38 Click on Issuer [Issuer Name]
39 Click on DR Search
40 Click Committed one
41 Change the status to effective and click Save
42 Click Logout
43 Login to the application with the same Url
44 Click Approval Queue
45 Click on Master File
46 Click DR Documentation
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
This user should have access toapproval Queue and should beable to approve
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48
49
50 Click Back link.
51 Click Issuer Documentation
52
53
54
55 Click Back link.
56 Click DR Profile
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
57 S l t th it P di A l f
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57
58
59
60 select Execute batch and click Save
61 Click Logout
62 Repeat step 1--5
63
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you used
to create the DR Life Cycle
Enter the search values in the followingmanner.
Select DR Type as Level IISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6 S/U All
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5 Click on DR Link
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5 Click on DR Link
6
7
8
Enter the search values in the followingmanner.
Select DR Name : Created NameSelect DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All
5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergoneDR life cycle already)
Click DR Life Cycle
10 Edit the following in Details Tab
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10
11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
14
15
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
Select the Type as Primary and then click onCUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleC l 18 Select the exchange from the question mark
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18
19
20 Click Cancel button
21 Click DR Documentation
22 Click Cancel
23
24
Select the exchange from the question markand click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..
Go to Details Tab and Change the status asEffective and click save
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank
7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each row
25 Navigate to the 'Deposit Agreement' tab and
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25
26
27
28 Click on DR [DR Name]
29 Click Cancel
30
31 Click on Issuer [Issuer Name]
32 Click Cancel
Navigate to the Deposit Agreement tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
36 Fill the following :
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36
37
38 Click on Issuer [Issuer Name]
39 Click on DR Search
40 Click Committed one
41 Change the status to effective and click Save
42 Click Logout
43 Login to the application with the same Url
44 Click Approval Queue
45 Click on Master File
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.
1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
This user should have access toapproval Queue and should beable to approve
47 Select the item Pending Approval from
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47
48
49
50 Click Back link.
51 Click Issuer Documentation
52
53
54
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval from
Appr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
56 Click DR Profile
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56 Click DR Profile
57
58
59
60 select Execute batch and click Save
61 Click Logout62 Repeat step 1--5
63
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
65 Open the DR and look for flags
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65 Open the DR and look for flags
66
67
68
69
70
71
72
73
74
Verify DR Life Cycle
3 1 Login into the adrbnyapps.com application.
Go to CUSIP Summary tab and look for Flagand N mark
Check the values in the following fields:Type
CUSIPDR ExchangeDR Ticker SymbolRatio DRsRatio Underlying SharesCurrent CUSIP
Navigate to the 'Detail' tab and note theEffective date. .Also the origin should beUpgrade.
Verify that the Level III and Level I areconnected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field and No Initial SaleDate should appear on Level I.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ie
DR2).Create/History CUSIP tab should be on theLevel I with old data.
DR Should be created first withRegS and all the approvals Shouldbe done. Please execute CreateRegS Only Sponsored DR Testcase from DR Profile Test caseList.
PPC DR from RegS Only toLevel I
2 Enter the Valid User ID and Password and
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3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
click Login
6 Enter the search values in the following
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7
8
9
10
gmanner.
Select DR Name : Name CreatedSelect DR Type as RegSSelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergone
DR life cycle already)
Click DR Life Cycle
Select Private Placement Conversion andClick Create New DR
(Note But the Status need to be changed toEffective to approve. )
Edit the following in Details Tab.
12 Click CUSIP Summary Tab
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13 Click on add button
14
15
16 Click Save
17 Click on Create/History Tab
Select the Type as Primary and then click onCUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
22 Click Approval Queue
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23 Click on Master File
24 Click CUSIP Profile
25
26
27
28 Click Back
29 Click DR Profile
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
30 Select the item Pending Approval from
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31
32
33 select Execute batch and click Save
34 Click Logout
35 Repeat step 1--5
36
Appr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you used
to create the DR Life CycleEnter the search values in the followingmanner.
Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6 S/U All
41 The Reg. S and Level I should be connectedith P i /N t b tt
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42
43
44
45
46
Verify DR Life Cycle
4 1 Login into the adrbnyapps.com application.
2
with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.
Verify that the termination date(as noted
above for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Create/History CUSIP tab should be on theReg. S with old data. New data should be onthe CUSIP.
DR Should be created first withRegS and all the approvals Shouldbe done. Please execute Create
RegS Only Sponsored DR Testcase from DR Profile Test caseList.
PPC DR from 144A Only toLevel Il
Enter the Valid User ID and Password andclick Login
5 Click on DR Link
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6
7
Enter the search values in the followingmanner.
Select DR Name : Name CreatedSelect DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All
7.Dr Exchange - All )
Open DR from Search Result
8 Click DR Life Cycle
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9
10
11 Click Ok and Check for Flag
12
Select Private Placement Conversion andselect Level II from list box and Click CreateNew DR
(Note But the Status need to be changed to
Effective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
Select the SEC Fillings tab if it exists for theDR.
14 Click CUSIP Summary Tab
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15 Click on add button
16
17
18 Click Save
19 Click on Create/History Tab
Select the Type as Primary and then click onCUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
21 Click DR Documentation
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22 Click Cancel
23
24
25
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary
11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: No
and click Save
27 Click Letter agreement Tab and click Addbutton and the fill the following fields
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28 Click on DR [DR Name]
29 Click Cancel
30
31 Click on Issuer [Issuer Name]
32 Click Cancel
33 Click on Issuer Documentation
34 Click Sec Filing and MAL Tab
35
36
button and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345 Non US Goverment Issued ID# eg
38 Click on Issuer [Issuer Name]
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39 Click on DR Search
40 Click Committed one
41
42 Click Logout
43 Login to the application with the same Url
44 Click Approval Queue
45 Click on Master File
46 Click CUSIP Profile
47
Go to Details Tab and Change the status asEffective and click save
This user should have access toapproval Queue and should beable to approve
Select the item Pending Approval fromAppr.Status and click Search
51 Click DR Documentation
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52
53
54
55 Click Back link.
56 Click Issuer Documentation
57
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
61 Click DR Profile
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62
63
64
65 select Execute batch and click Save
66 Click Logout67 Repeat step 1--5
68
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
70 Open the DR and look for flags
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71
72
73
74
75
76
77
78
Verify DR Life Cycle
5 1 Login into the adrbnyapps.com application.
2
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note the
Effective date and status.Verify that the RegS and Level II areconnected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
navigate to the Create/History CUSIP taband there should be old data
DR Should be created first withRegS and all the approvals Shouldbe done. Please execute CreateRegS Only Sponsored DR Test
case from DR Profile Test caseList.
PPC DR from Bifurcated toLevel IlI
Enter the Valid User ID and Password andclick Login
5 Click on DR Link
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6
7
8
Enter the search values in the followingmanner.
Select DR Name : Name CreatedSelect DR Type as RegSSelect S/U as S
Select DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result wherestructure is bifurcated.
Note ( DR should have not have undergoneDR life cycle already)
Click DR Life Cycle
10 Edit the following in Details Tab.
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11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
14
15
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
Select the Type as Primary and then click onCUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleC l
18 Select the exchange from the question markand click save.
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19
20 Click Logout
21 Login to the application with the same Url
22 Click Approval Queue
23 Click on Master File
24 Click CUSIP Profile
25
NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..
Go to Details Tab and Change the status asEffective and click save
This user should have access toapproval Queue and should beable to approve
Select the item Pending Approval fromAppr Status and click Search
29 Click DR Profile
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30
31
32
33 Select Execute batch and click Save
34 Click Logout
35 Repeat step 1--5
36
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
38 Open the DR and look for flags39 Go to CUSIP Summary tab and look for Flag
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40
41
42
43
44
45
46
47
48
49
Verify DR Life Cycle
6 1 Login into the adrbnyapps.com application.
2
y gand N mark
Navigate to the 'Detail' tab and note theEffective date.
Check the Reg. S and Level III should beconnected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent the
lifecycle.Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andnote the Cusip name in the screen.
Navigate back and Click on the relatedbutton and verify that the 144A DR is intactand not terminated.
Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andverfiy Cusip name in the screen matcheswith above.
Navigate back to RegS DR andCreate/History CUSIP tab should be on theReg. S with old data.
DR Should be created first withLevel III and all the approvals aredone. Please execute Create DRLevel III Sponsored Test case fromDR Profile Test case List.
Delisting DR from Level III toLevel I
Enter the Valid User ID and Password andclick Login
5 Click on DR Link
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6
7
Enter the search values in the followingmanner.
Select DR Name : Name CreatedSelect DR Type as Level IIISelect S/U as S
Select DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
8 Click DR Life Cycle
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9
10
11 Click Ok ,Click Save and Check for Flag
12 Click CUSIP Summary Tab
Select Delist and select Level I from list boxand Click Create New DR
(Note But the Status need to be changed to
Effective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008]
14 Select the Type as Primary and then click onCUSIP Question Mark.
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15
16 Click Save
17 Click on Create/History Tab
18
19
20 Click Cancel button.
21 Click DR Documentation Link
22 Click Cancel button
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
Check the exchange if present and clicksave.Note: Verify OTC should be present as theExchange.
Go to Details Tab and Change the status asEffective and click save
24 Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save
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25
26
27
28 Click on DR [DR Name]
29 Click Cancel
30
31 Click Cancel
32 Click Logout
33 Login to the application with the same Url
fee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: No
and click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No
3.Reimbursement Expiration - No andclick Save
Go to Detail Tab and Change the status toeffective and click Save
This user should have access toapproval Queue and should be
36 Click CUSIP Profile
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37
38
39
40 Click Back link.
41 Click DR Documentation
42
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
46 Click DR Profile
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47
48
49
50 Select Execute batch and click Save
51 Click Logout
52 Repeat step 1--5
53
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
55 Open the DR and look for flags
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56
57
58
59
60
61
62
63
64
Verify DR Life Cycle
7 1 Login into the adrbnyapps.com application.
2
Go to CUSIP Summary tab and look for Flagand N mark
If you have not created a new CUSIP andmapped the exisitng CUSIP to the newlycreated DR then go to Create/History CUSIPand check for flags
Navigate to the 'Detail' tab and note theEffective date. Also the origin should beDelisting.
The Level III and Level I should beconnected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Level II.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Create/History CUSIP tab should be on theLevel II with old data.
a)DR Should be created first withLevel II and all the approvals aredone. Please execute Create DRLevel III Sponsored Test case fromDR Profile Test case List.b)If the user is prompted to entereither DR documentation, Issuerdocumentation , Sec Filinginformation or any otherinformation then the same can be
Delisting DR from Level II to
Level I
Enter the Valid User ID and Password and
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14 Click on the '?' icon next to CUSIP andSelect a Value by clicking on the CUSIPName link in the popup and and click Save.
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15 Click Save
16 Click on Create/History Tab
17
18
19
20 Click Cancel button
21 Click DR Documentation Link
22 Click Cancel button
Name link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
Check the exchange if present and click
save.Note: Verify OTC should be present as theExchange.
If the Sec Filing tab is present and the fieldsare without any data then follow the step 12to 13 of TC4 above.
Go to Details Tab and Change the status asEffective and click save
23 In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US
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g p g2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes
10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No
2.Charge DSF:Noa)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No
31 Click on Issuer Documentation
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32 Click Sec Filing and MAL Tab
33
34
35
36 Click on Issuer [Issuer Name]
37 Click on DR Search
38 Click Committed one
39 Change the status to effective and click Save
40 Click Cancel
41 Click Logout
42 Login to the application with the same Url
43 Cli k A l Q
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Select
from ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
This user should have access toapproval Queue and should beable to approve
45 Click CUSIP Profile
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46
47
48
49 Click Back link.
50 Click DR Documentation
51
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
55 Click Issuer Documentation
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56
57
58
59 Click Back link.
60 Click DR Profile
61
Select the item Pending Approval fromAppr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
64 select Execute batch and click Save
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65 Click Logout
66 Repeat step 1--5
67
68
69 Open the DR and look for flags
70
71
72
73
74
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All
2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Look for the name for which u delisted fromLevel II to Level I
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note theEffective date. Also the status is effective.And Origin is PPC.
The Level II and Level I should be connected
with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent the
8 1 Login into the adrbnyapps.com application.PPC DR from 144A Only toLevel I
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2
3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
Enter the Valid User ID and Password andclick Login
6 Enter the search values in the followingmanner.
S l t DR N N C t d
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7
8
9
Select DR Name : Name CreatedSelect DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All
2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergone
DR life cycle already)Click DR Life Cycle
Select Private Placement Conversion andClick Create New DR
(Note But the Status need to be changed toEffective to approve. )
12 Click CUSIP Summary Tab
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13 Click on add button
14
15 Click Save
16 Click on Create/History Tab
17
click on the '?' icon and Select a Value byclicking on the CUSIP Name link in thepopup and and click Save.
Select the row which has Y in DR Life CycleColumn.
Check the exchange if present and clicksave.
Note: Verify OTC should be present as theExchange.
22 In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2 Deposit Agreement Date (today's date)
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23
24
25
2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes
10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No
2.Charge DSF:Noa)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No
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44 Click CUSIP Profile
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45
46
47
48 Click Back link.
49 Click DR Documentation
50
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
54 Click Issuer Documentation
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55
56
57
58 Click Back link.
59 Click DR Profile
60
Select the item Pending Approval fromAppr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
63 select Execute batch and click Save
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64 Click Logout
65 Repeat step 1--5
66
67
68 Open the DR and look for flags
69
70
71
72
73
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All
2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Look for the name for which u PPC from144A to Level I
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note theEffective date. Also the status is effective.And Origin is PPC.
Verify that the 144A and Level I should be
connected with Prior/Next buttons.Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent the
Verify DR Life Cycle DR Should be created first with144A Only and all the approvalsare done. Please execute CreateDR 144A Only Sponsored Test
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9 1 Login into the adrbnyapps.com application.
2
3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
DR 144A Only Sponsored Testcase from DR Profile Test caseList.
PPC DR from 144A Only toLevel II
Enter the Valid User ID and Password andclick Login
6 Enter the search values in the followingmanner.
Select DR Name : Name Created
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7
8
9
10
Select DR Name : Name CreatedSelect DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All
2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergone
DR life cycle already)Click DR Life Cycle
Select Private Placement Conversion andselect Level II and Click Create New DR
(Note But the Status need to be changed to
Effective to approve. )
Edit the following in Details Tab.
12 Click CUSIP Summary Tab
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13 Click on add button
14
15
16 Click Save
17 Click on Create/History Tab
Select the Type as Primary and then click onCUSIP Question Mark.
click on the '?' icon next to CUSIP and Seleca Value by clicking on the CUSIP Name linkin the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
21 Click DR Documentation Link
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22 Click Cancel button
23
24
25
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: No
and click Save
27 Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date
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28 Click on DR [DR Name]
29 Click Cancel
30 Click on Issuer Profile
31 Click on Issuer Documentation
32 Click Sec Filing and MAL Tab
33
34
35
36 Click on Issuer [Issuer Name]
g2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
43 Click Approval Queue
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44 Click on Master File
45 Click CUSIP Profile
46
47
48
49 Click Back link.
50 Click DR Documentation
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
51 Select the item Pending Approval fromAppr.Status and click Search
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52
53
54 Click Back link.
55 Click Issuer Documentation
56
57
58
Select the Name Created by you using the
normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and click
Save
60 Click DR Profile
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61
62
63
64 select Execute batch and click Save
65 Click Logout
66 Repeat step 1--5
67
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
69 Open the DR and look for flags
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70
71
71
72
73
74
75
Not Done 76
Verify DR Life Cycle
10 1 Login into the adrbnyapps.com application.
2
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note theEffective date. Origin should be PPC.
Verify that the 144A and Level II should be
connected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on 144A.
Verify that the termination date(as notedabove for DR1) is a day prior than the
effective date of current Effective DR ( ieDR2).
Navigate to the Cusip/history tab andCreate/History CUSIP tab should be on the144A with old data. New data should be onthe CUSIP.
DR Should be created first with144A Only and all the approvalsare done. Please execute Create
DR 144A Only Sponsored Testcase from DR Profile Test caseList.
PPC DR from 144A Only toLevel III
Enter the Valid User ID and Password andclick Login
5 Click on DR Link
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6
7
8
9
Enter the search values in the followingmanner.
Select DR Name : Name CreatedSelect DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All
2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergoneDR life cycle already)
Click DR Life Cycle
Select Private Placement Conversion andselect Level II and Click Create New DR
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18 Click Save
19 Click on Create/History Tab
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20
21
22 Click Cancel button
23 Click DR Documentation Link
24 Click Cancel button
25
Select the exchange from the question markand click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..
Go to Details Tab and Change the status asEffective and click save
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer
6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes
27 Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1 DSF in Deposit Agreement: No
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28
29
30 Click on DR [DR Name]
31 Click Cancel
32 Click on Issuer Profile
33 Click on Issuer Documentation
34 Click Sec Filing and MAL Tab
35
1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
37 If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)
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38 Click on Issuer [Issuer Name]
39 Click on DR Search
40 Click Committed one
41 Change the status to effective and click Save
42 Click Cancel
43 Click Logout
44 Login to the application with the same Url
45 Click Approval Queue
46 Click on Master File
47 Click CUSIP Profile
from ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
This user should have access toapproval Queue and should beable to approve
49 Select the Name Created by you using thenormal User.
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50
51 Click Back link.
52 Click DR Documentation
53
54
55
56 Click Back link.
57 Click Issuer Documentation
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
60 Select Approve for all the items and clickSave
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61 Click Back link.
62 Click Back link
63 Click DR Profile
64
65
66
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and click
70 Enter the search values in the followingmanner.
Select DR Type as Level IIISelect S/U as S
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71
72 Open the DR and look for flags
73
74
75
76
77
78
79
Not Done 80
Select S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All
3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Look for the name for which u PPC from144A to Level III
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note theEffective date.
Verify that the 144A and Level II should beconnected with Prior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on 144A.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Navigate to the Cusip/history tab andCreate/History CUSIP tab should be on the144A with old data. New data should be onthe CUSIP.
2 Enter the Valid User ID and Password andclick Login
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3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
6 Enter the search values in the followingmanner.
Select DR Name :Select DR Type as Level ISelect S/U as USelect DR Status as Effective and ClickSearch
8 Click DR Life Cycle
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9
10
11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
Select DR Conversion and S/U as S , SelectBNY as Depositary and Click Create New DR
(Note But the Status need to be changed toEffective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
14 Select the Type as Primary and then click onCUSIP Question Mark.
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15
16 Click Save
17 Click on Create/History Tab
18
19
20 Click Cancel button
21 Click DR Documentation Link
22 Click Cancel
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
Check the exchange if present and clicksave.Note: Verify OTC should be present as theExchange.
Go to Details Tab and Change the status asEffective and click save
23 In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today's
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24
25
26
date)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes
10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No
3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No
30 Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
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31
32 Click on Issuer [Issuer Name]
33 Click Cancel
34 Click on Issuer Documentation
35 Click Sec Filing and MAL Tab
36
37
38
Select any one value for First filter from Dropdown list and click Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)
1.Required - NoAnd Click on Save.
46 Click Approval Queue
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47 Click on Master File
48 Click DR Documentation
49
50
51
52 Click Back link.
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
55 Select the Issuer Name Created by youusing the normal User.
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56
57 Click Back link.
58 Click DR Profile
59
60
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
65 Enter the search values in the followingmanner.
Select DR Type as Level IISelect S/U as SS l t DR St t Eff ti d Cli k
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66
67 Open the DR and look for flags
68
69
70 Navigate back to the new DR.
71
72
73
74
75
76
Select DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All
3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Look for the name for which changed the DrConversion(New DR)
Navigate to the 'Detail' tab and note theEffective date and Origin is New program.
In detail tab,The DR should have the priorbutton which displayes the original DR.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also there shouldbe No Initial Sale Date appearing on thisDR.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ie
DR2).Create/History CUSIP tab should be on the .DR with old data.
Not Done this Step but the Same In detail tab The DR should have the next 2 Enter the Valid User ID and Password and
click Login
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3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
6 Enter the search values in the followingmanner.
Select DR Name :Select DR Type as Level IISelect S/U as USelect DR Status as Effective and ClickSearch
8 Click DR Life Cycle
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9
10
11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
Select DR Conversion and S/U as S , Selectany Depositary and Click Create New DR
(Note But the Status need to be changed toEffective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
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24
25
Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab and
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26
27
28 Click on DR [DR Name]
29 Click Cancel
30
31
g gverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill
1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No and
click Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
Select any one value for First filter from Dropdown list and click Save
36
37
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2 12 3 2(b) Filt N
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38
39 Click on Issuer [Issuer Name]
40 Click on DR Search
41 Click Committed one
42
43 Click Cancel44 Click Logout
45 Login to the application with the same Url
46 Click Approval Queue
2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
If the BCP/Paf tab exists and is unfilled with
values then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
Change the status to effective, select filtervalue and click Save
This user should have access toapproval Queue and should beable to approve
48 Click DR Documentation
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49
50
51
52 Click Back link.
53 Click Issuer Documentation
54
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval from
Appr.Status and click Search
58 Click DR Profile
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59
60
61
62 select Execute batch and click Save
63 Click Logout
64 Repeat step 1--5
65
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
67 Open the DR and look for flags
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68
69
70 Navigate back to the new DR.71
72
73
74
75
76
Verify DR Life Cycle
13 1 Login into the adrbnyapps.com application.
2
Navigate to the 'Detail' tab and note theEffective date and Origin is New program.
In detail tab,The DR should have the priorbutton which displayes the original DR.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also there shouldbe No Initial Sale Date appearing on thisDR.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Create/History CUSIP tab should be on the .DR with old data.
Not Done this Step, but the Sameis Verified in Function written.
In detail tab,The DR should have the nextbutton which displayes the New DR.
DR Should be created first withLevel III and all the approvalsshould be done. Please executeCreate DR Level III UnsponsoredTest case from DR Profile Testcase List.
Select DR Level III Unsponsored and Covert to DRSponsored.
Enter the Valid User ID and Password and
click Login
5 Click on DR Link
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6
7
8
Enter the search values in the followingmanner.
Select DR Name :
Select DR Type as Level IISelect S/U as USelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All
6.S/U - All7.Dr Exchange - All )
Open DR from Search Result
Note ( DR should have not have undergoneDR life cycle already)
Click DR Life Cycle
10 Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
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11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
14
15
Select the Type as Primary and then click onCUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleC l
18 Select the exchange from the question mark
and click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message
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19
20 Click Cancel button
21 Click DR Documentation Link
22 Click Cancel
23
24
25
g"Typically,American, NASDAQ or New York
Go to Details Tab and Change the status asEffective and click save
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US
2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730
Click Save.
Click Fees and add all the fees in each row
until all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab and
26 a)In Depositary Service Fee fill
1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
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27
28 Click on DR [DR Name]
29 Click Cancel
30
31
32 Click on Issuer [Issuer Name]
33 Click Cancel
34 Click on Issuer Documentation
35 Click Sec Filing and MAL Tab36
37
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No
3.Reimbursement Expiration - No andclick Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
Select any one value for First filter from Dropdown list and click Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following : 38 If the BCP/Paf tab exists and is unfilled with
values then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
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39 Click on Issuer [Issuer Name]
40 Click on DR Search
41 Click Committed one
42
43 Click Cancel
44 Click Logout
45 Login to the application with the same Url
46 Click Approval Queue
47 Click on Master File
48 Click DR Documentation
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
Change the status to effective, select filtervalue and click Save
This user should have access toapproval Queue and should beable to approve
49 Select the item Pending Approval from
Appr.Status and click Search
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50
51
52 Click Back link.
53 Click Issuer Documentation
54
55
56
Select the Name Created by you using the
normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
58 Click DR Profile
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59
60
61
62 select Execute batch and click Save
63 Click Logout
64 Repeat step 1--5
65
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
67 Open the DR and look for flags
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68
69
70
71 Navigate back to the new DR.
72
73
74
75
76
77
Verify DR Life Cycle
14 1 Login into the adrbnyapps.com application.
2
Navigate to the 'Detail' tab and note theEffective date and Origin is New program.
Go to CUSIP Summary tab and look for Flagand N mark
In detail tab,The DR should have the priorbutton which displayes the original DR.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR which undewent thelifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field. Also there shouldbe No Initial Sale Date appearing on thisDR.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Create/History CUSIP tab should be on the .DR with old data.
Not Done this Step, but the Sameis Done in the Function Written
In detail tab,The DR should have the nextbutton which displayes the New DR.
DR Should be created first with144A and another DR with RegSand both should share sameCUSIP and unsponsored. and allthe approvals are done. Pleaseexecute Create Bifurcated DR Testcase from DR Profile Test caseList.
Conversion of Bifurcated DRfrom Unsponsored DR to
sponsored.
E t th V lid U ID d P d d 5 Click on DR Link
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6
7
8
Enter the search values in the followingmanner.(From results choose Bifurcated DR)
Select DR Name :Select DR Type as 144ASelect S/U as USelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Open DR from Search Result. Select
Bifurcated DR.
Note ( DR should have not have undergoneDR life cycle already)
Click DR Life Cycle
10 Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
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11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
13 Click on add button
14
15
Select the Type as Primary and then click onCUSIP Question Mark.Use the same CUSIP.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleC l
17 Click on Create/History Tab
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18
19
20 Click Cancel button
21 Click DR Documentation Link
22 Click Cancel
23
The Exchange should be defaulted to None.Note: None will be defaultly displayed in theExchange field.
Go to Details Tab and Change the status asEffective and click save
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None
12.Termination Period - 730Click Save.
25 Navigate to the 'Deposit Agreement' tab and
verify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No
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26
27
28 Click on DR [DR Name]
29 Click Cancel
30
31
32 Cli k I [I N ]
3.Net DSF from Cash Dividend: Noand click Save
b)Now try to fill
1.DSF in Deposit Agreement: No2.Charge DSF:No
a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
Click Letter agreement Tab and click Addbutton and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
Select any one value for First filter from Dropdown list and click Save
37 Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345 Non-US Goverment Issued ID# - eg
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38
39 Click on Issuer [Issuer Name]
40 Click on DR Search
41 Click Committed one
42
43 Click Cancel
44 Click Logout
45 Login to the application with the same Url
46 Click Approval Queue
47 Click on Master File
5.Non US Goverment Issued ID# egA78839272
If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date
Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.
Change the status to effective, select filtervalue and click Save
This user should have access toapproval Queue and should beable to approve
49 Select the item Pending Approval from
Appr.Status and click Search
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50
51
52 Click Back link.
53 Click DR Documentation
54
55
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
59 Select the item Pending Approval from
Appr.Status and click Search
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60
61
62 Click Back link.
63 Click DR Profile
64
Select the Issuer Name Created by youusing the normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
68 Click Logout
69 Repeat step 1--5
70
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
Select DR Type as 144A
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71
72 Open the DR and look for flags
73
74
75
76
77
Select DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch
(Note Default Values for
1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )
Look for the name for which Converted fromNon Sponsored to Sponsored.
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note the
Effective Date for the Unsponsored DR andthe origin should be 'New program'. Also Noinitial Sale Dates appear for the unsponsoredDR.
Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andnote the Cusip name in the screen.
Navigate back and in the detail tab Click onrelated button and Similarly note theEffective date and Origin. It should be thesame as above.
Navigate to Cusip tab and verfiy that all thedetails match. Also click on the Cusipnumber and verify the Cusip name in the
Need to Cover this Step. 83
84
Click on related button and Similarly note the
Termination date for Regs DR also and andtermination dates is one date before theeffective dates of the sponsored DRs..
The termination reasons for the unsponsoredRegS. DR should be UnsponsoredConversion
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Not Done 85
Verify DR Life Cycle
15 PPC for Bifurcated RegS DR 1 Login into the adrbnyapps.com application.
2
3 Click on Master File
4 Click on Profile Link
5 Click on DR Link
Conversion.
Navigate to the Create/History CUSIP tabs for both the DRs. There should be old data.
DR Should be created first with144A and another DR with RegSand both should share sameCUSIP and all the approvals aredone. Please execute CreateBifurcated DR Test case from DRProfile Test case List.
Enter the Valid User ID and Password andclick Login
8 Click DR Life Cycle
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9
10
11 Click Ok and Check for Flag
12
13
Select Private Placement Conversion, selectany Level and Click Create New DR
(Note But the Status need to be changed to
Effective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save
Select the SEC Fillings tab if it exists for theDR else skip the current and next step.
Fill in the information in the following fields ifthere is no information already present :Total # F-6 ADSsCurrent F-6 ADSs Reg (Text box) - 200000
Previous F-6 ADSs Reg# ADSs SwitchedCurrent F-6 Number (Text box) -333-10352Previous F-6 Number
14 Click CUSIP Summary Tab
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15 Click on add button
16
17
18 Click Save
19 Click on Create/History Tab
Select the Type as Primary and then click on
CUSIP Question Mark.
Select a Value by clicking on the CUSIPName link in the popup and and click Save.
Select the row which has Y in DR Life CycleColumn.
23 Click DR Documentation Link
24 Click Cancel
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25
26
27
In Deposit Agreement fill the following fields
1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None
12.Termination Period - 730Click Save.
Click Fees and add all the fees in each row
until all the fees are added and if any of thefee is blank fill 0 and then click Save.
Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save
29 Click Letter agreement Tab and click Add
button and the fill the following fields.
1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save
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30 Click on DR [DR Name]
31 Click Cancel32
33
34 Click on Issuer [Issuer Name]
35 Click Cancel
36 Click on Issuer Documentation
37 Click Sec Filing and MAL Tab
38
39
Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save
Select any one value for First filter from Dropdown list and click Save
If editable then Change MAL as No elsechange 'On Website' to 'yes .
Fill the following :
1.20-F Filer - Yes2.12g3-2(b) Filter No
3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272
42 Click on DR Search
43 Click Committed one
44
45 Click Cancel
Change the status to effective, select filtervalue and click Save
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45 Click Cancel
46 Click Logout
47 Login to the application with the same Url
48 Click Approval Queue
49 Click on Master File
50 Click CUSIP Profile
51
52
This user should have access toapproval Queue and should be
able to approve
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
55 Click DR Documentation
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56
57
58
59 Click Back link.
60 Click Issuer Documentation
61
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using the
normal User.
Select Approve for all the items and clickSave
Select the item Pending Approval fromAppr.Status and click Search
65 Click DR Profile
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66
67
68
69 select Execute batch and click Save
70 Click Logout
71 Repeat step 1--5
72
Select the item Pending Approval fromAppr.Status and click Search
Select the Name Created by you using thenormal User.
Select Approve for all the items and clickSave
Login with the user which you usedto create the DR Life Cycle
Enter the search values in the followingmanner.
74 Open the DR and look for flags
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75
76
77
78
79
80
81
82
83
84
Not Done 85
Not Done 86
Verify DR Life Cycle
Go to CUSIP Summary tab and look for Flagand N mark
Navigate to the 'Detail' tab and note theEffective date. Also Origin is PPC and statuseffective.
Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andnote the Cusip name in the screen.
Navigate to Detail tab and Click on therelated button and note the effective dateand Origin for the 144A DR.
Navigate to Cusip tab and verfiy that all thedetails match. Also click on the Cusipnumber and verify the Cusip name in thescreen matches with above.
Navigate back and Verify that The Reg. Sand Level III are be connected withPrior/Next buttons.
Click on DR search and navigate to the DRsearch screen.
Click on the Old DR(Regs) which undewentthe lifecycle.
Navigate to the 'Detail' tab and check for the'Termination reason' field for the Regs. AlsoNo Initial Sale Date should appear on Reg.S.
Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).
Click on the related button and verify that the144A DR is intact and not terminated.
Click related button and Navigate to theCreate/History CUSIP tab and data shouldbe on the Reg. S with old data. New datashould be on the CUSIP.
DR Should be created first withLevel II and all the approvals
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8 Click DR Life Cycle
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9
10
11 Click Ok and Check for Flag
12 Click CUSIP Summary Tab
Select Warrant Radio button and ClickCreate New DR
(Note But the Status need to be changed to
Effective to approve. )
Edit the following in Details Tab.
1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008]
3. Security Description [select ADR] and clickSave
14 Select the Type as Primary and then click on
CUSIP Create Mark
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15
16 Click Warrant Tab
17
18 Go to Detail Tab
19 Click DR Name
20 Click on CUSIP Summary/Add
Enter the Value for the following fields andclick Save
1.Ratio DRs [Mandatory]
2.Ratio Underlying Shares [Mandatory]
3.CUSIP [Mandatory]4.DR Ticker Symbol [Mandatory]5.Underlying Security [Mandatory]6.Dr Exchange [Mandatory] EX AmericanStock ExchangeNOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange.
Enter the following fields:
1.Warrant Agent [select from Question Mark]2.Distribution Date [Older Date]