CorporateActionsProfile.xls RevHEAD.svn000

8/7/2019 CorporateActionsProfile.xls RevHEAD.svn000

1/45

HomePageLinks

HOME;ADMINISTRATION;CHANGE PASSWORD;LOGOUT


2/45

MenuName

HOME;PROFILE;REPORTS;ADMINISTRATION;HELP;LOGOUT


3/45

TestRunFlag TestCaseID

Y TestCase 1

Y TestCase 2

Y TestCase 3

Y TestCase 4

Y TestCase 5

Y TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6


TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6


TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6


4/45

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6


TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6

TestCase 6


5/45

TestCaseDesc

Successfully Navigate to Upload Notification Page.

Check for error message when we click on save without filling any of the fields.

Checking for functionality of Browse button under Upload Notification page.

Select Corporate Action Type and verify the corresponding date field required.

Successfully login into application as CA_User and Upload a Notification withComparison = Yes and Sender Type = Issuer.

Successfully login into application as CA_User and Upload a Notification withComparison = No and Sender Type = Custodian.


6/45

Select Corporate Action Type and verify the corresponding date field required.


7/45

MenuPath TargetDocument UnderlyingSecurity

Profile;Upload NotificationUnderlying Corporate Action Notification



Profile;Upload NotificationUnderlying Corporate Action NotificatioWipro

Profile;Upload NotificationUnderlying Corporate Action NotificatioICICI Bank





Profile;Upload Notification















8/45










9/45

CorporateActionType LocalRecordDate Comparison

Ca 11;Nov;2008

Annual General Meeting \(AGM\)

Attachment

Bankruptcy

Bond Default

Bonus Issue / Capitalization Issue

Call on Intermediate Securities

Class Action

Company Option

Consent

Conversion

Coupon Stripping

Court MeetingDecrease in Value

Detachment

Disclosure

Dividend Option

Dividend Reinvestment

Drawing

Dutch Auction

Exchange

Exchange Option

Extraordinary or Special General Meeting \(EGM; SGM\)

Final Maturity

Full Call/ Early RedemptionIncrease in Value

Instalment Call

Interest Payment

Interest Payment with Principle

Intermediate Securities Distribution

Liquidation Dividend / Liquidation Payment

Maturity Extension

Merger

Non-US TEFRA D Certification

Odd Lot Sale / Purchase

Ordinary General Meeting \(OGM\)

Other EventPari-passu

Partial Call

Partial Defeasance / Pre-funding

Pay in Kind

Place of Incorporation

Priority Issue

Put Redemption

Redenomination


10/45

Remarketing Agreement

Repurchase Offer

Reverse Stock Split

Rights Issue / Subscription Rights / Rights Offer

Scrip Dividend / Payment

Shares Premium Dividend

Smallest Negotiable UnitSpin-Off

Stock Dividend

Stock Split

Tax Reclaim

Tender / Acquisition / Takeover / Purchase Offer / Buyback

Trading Status: Active

Trading Status: Delisted

Trading Status: Suspended

Warrant Exercise

Withholding Tax Relief Certification

Worthless


11/45

SenderType CustodianName MeetingDateComments

Custodian ICICI 5;Dec;2008 Testing the Upload Notificatio


12/45


13/45

RequiredFields

Uploaded File;ISIN;Corporate Action Type;Sender Name

ISIN;Corporate Action Type;Sender Name

ISIN;Corporate Action Type;Sender Name

Effective Date

Local Record Date

Effective Date

Local Record Date

Meeting Date

Effective Date

Meeting DateLocal Record Date

Effective Date

Local Record Date

Local Record Date

Effective Date

Local Record Date

Local Record Date

Local Record Date

Meeting Date

Payment Date

Payment DateLocal Record Date

Payment Date

Local Record Date

Local Record Date

Local Record Date

Effective Date

Local Record Date

Local Record Date

Meeting Date

Local Record DateEffective Date

Payment Date

Local Record Date

Effective Date

Local Record Date


14/45

Payment Date

Local Record Date

Local Record Date

Local Record Date

Local Record Date

Effective DateLocal Record Date

Local Record Date

Local Record Date

Local Record Date

Payment Date

Payment Date

Effective Date


15/45

ValidationMessage

Uploaded file should be PDF, Doc, Text or HTML file.;Field is Required

Field is Required.

Field is Required.


16/45


17/45

.


18/45


19/45

TestRunFl TestCaseID TestCaseDesc MenuPath Status ReceivedDReceivedD

Y TestCase1 Successfully Na Profile;Index Notification 01;Sep;20 14;Oct;200

Y TestCase2 Verify the item's Profile;Index Notification Deleted 01;Sep;20 14;Oct;200

Y TestCase2 Verify the item's Profile;Index Notification No Action 01;Sep;20 14;Oct;200

Y TestCase2 Verify the item's Profile;Index Notification Non-Index 01;Sep;20 14;Oct;200

Y TestCase2 Verify the item's Profile;Index Notification Return to I 01;Sep;20 14;Oct;200

Y TestCase3 Validate Calend Profile;Index Notification 01;Oct;20014;Oct;200Y TestCase4 Verify the item's Profile;Index Notification 01;Sep;20 14;Oct;200

Y TestCase4 Verify the item's Profile;Index Notification 01;Sep;20 14;Oct;200






Y TestCase6 Successfully navProfile;Index Notification Deleted

Y TestCase7 Add/Assign CorpProfile;Index Notification Deleted

Y TestCase8 Add Corporate AProfile;Index Notification Deleted

Y TestCase9 Delete Corporat Profile;Index Notification Deleted

Y TestCase10 Successfully navProfile;Index Notification Deleted


20/45

Source AssignedtoAllItems ProjectFro StatusInde SelectTarg IssuerNamCompariso SenderTypCorporate

8

8

8

8

8

8 31-Oct-08Fax

MT599

8 Corporate

8 Dividends

8 Mergers and Acquisitions & HOLDRs

8 Proxy

8 Relationship Management

MT599 Indexed Underlying Glaxo No Annual Ge

MT599 Indexed Underlying Glaxo No Issuer Annual Ge



MT599 No Action Needed

All;Deleted;No Action Needed;Non-Indexed;Return to IMMR

All;Fax;MT599

All;Corporate Actions and Unsponsored;Dividends;Mergers and Acquisitions & HOLDRs;


21/45

MeetingDaCommentsEventType

eral Meeting

10;Dec;20 Test

10;Dec;20 Test Existing Event

10;Dec;20 Test Existing Event

roxy;Relationship Management


22/45

TestRunFlag TestCaseID TestCaseDesc

Y TestCase 1

Y TestCase 2 Navigate to Profile Underlying Notification Page

Y TestCase 3 Upload a document by logging into application

Y TestCase 4

Y TestCase 5

Y TestCase 6

Y TestCase 7

Y TestCase 8

Y TestCase 9

Y TestCase 10

Y TestCase 11

Y TestCase 12Search the reports of Underlying Notification based on ISIN

Y TestCase 13

Y TestCase 14

Y TestCase 15

Y TestCase 16

Y TestCase 17

Y TestCase 18 Add/Assign Corporate Action to a notification.Y TestCase 19 Delete Corporate Action assigned to a notification.

Successfully Navigate to Profile- Underlying NotificationSearch Page.

Verify listed items under Processing Status in Profile -

Underlying Notification Search page.Search the reports of Underlying Notification based onProcessing Status.

Search the reports of Underlying Notification based onReceived Date Range.

Verify listed items under Assigned to User Groups in Profile -Underlying Notification Search page.

Search the reports of Underlying Notification based onAssigned to User Groups

Verify listed items under Source in Profile - UnderlyingNotification Search page

Search the reports of Underlying Notification based on

SourceVerify listed items under Exception and Search the reports ofUnderlying Notification based on Exception in Profile -Underlying Notification Search page.

Search the reports of Underlying Notification based onUnderlying Security Name.

Search the reports of Underlying Notification based onCorporate Action Type

Search the Reports of Underlying Notification based on'Custodian

Upload a document by logging into application as a CA_Userand assign Underlying Notification to a Corporate ActionType.

Change the status of Underlying Notification to No ActionNeeded


23/45

MenuPath AllItemsofVariousField

PROFILE;Underlying Notification



PROFILE;Underlying Notification All;Assigned;Deleted;No Action Needed;Return to IMMR;Unassigned





PROFILE;Underlying Notification All;Documents;Fax;IDC;MT564;MT566;MT568;MT599


PROFILE;Underlying Notification All;No;Yes









All;Corporate Actions and Unsponsored;Dividends;Mergers andAcquisitions & Holdrs;Proxy;Relationship Management


24/45

FromDate ToDate Exception ISIN SelectCAType Custodian ProcessingStatus

11;Nov;2008 8;Dec;2008

11;Nov;2008 8;Dec;2008

Yes;No

INE075A01022

Ca

ICICI

25;Oct;2008 Unassigned

Unassigned

Assigned


25/45

InitialProcessingStatus FinalProcessingStatus TargetDocument

Underlying Corporate Action Notification


Unassigned No Action Needed



26/45

UnderlyingSecurity CorporateActionType LocalRecordDate AssignedtoUserGroups

Wipro Cash Dividend 14;Nov;2008

Wipro

Cash Dividend

Wipro Cash Dividend 9;Dec;2008 Dividends

Wipro Cash Dividend Corporate Actions and Unsponsored

Wipro Cash Dividend 9;Dec;2008 Dividends


27/45

EventType Comparison Source EventDate

No

Documents;IDC;MT564;MT566;MT568;MT599

No

New Event No Documents 5;Dec;2008

Existing Event No

No Documents


28/45

TestRunFlag

Y

Y

Y

Y

Y

YY

Y

Y

Y

Y

Y

Y

Y

Y

Y

Y

YY

Y

Y

Y

Y

Y


29/45

TestCaseDesc

Successfully Navigate to 'Profile - Underlying Event Search' Page.

Verify listed items under 'Processing Status' dropdown and Search Events for 'Underlying Event' based on 'Processin




Verify listed items under 'Processing Status' dropdown and Search Events for 'Underlying Event' based on 'ProcessinVerify listed items under 'Processing Status' dropdown and Search Events for 'Underlying Event' based on 'Processin

Search Events for 'Underlying Event' based on 'Received Date Range'.

Verify listed items under 'Owner' dropdown and Search Events for 'Underlying Event' based on 'Owner'.






Search Events for 'Underlying Event' based on 'Corporate Action Type'

Search Events for 'Underlying Event' based on 'ISIN'.

Search Events for 'Underlying Event' based on 'Underlying Security Name'.

Search Events for 'Underlying Event' based on 'Event Name'.Search Events for 'Underlying Event' based on 'Event Name'.

Successfully Navigate to 'Underlying Event' page.

Change the Status of an Event from 'Assigned' status to 'Unapproved'

Approve an Event by logging into application as a 'CA_Approver'

Delete an existing Event with notifications.

Verify the buttons 'RM Certification', 'Event Changes Log' , 'Source Comparision Report' in the 'Underlying Event' scre


30/45

TestCaseID MenuPath

TestCase1 Profile;Underlying Event





TestCase2 Profile;Underlying EventTestCase2 Profile;Underlying Event











TestCase8 Profile;Underlying EventTestCase8 Profile;Underlying Event







31/45

AllItemsInProcessingStatus ProcessingStatus EventName

Approved

All;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved Cancelled

All;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved No Action Needed

All;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved Pending

All;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved RejectedAll;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved Unapproved

ArcelorMittalArc

ArcelorMittal

Unapproved

Unapproved

All;Approved;Cancelled;No Action Needed;Pending;Rejected;Unapproved


32/45

Owner RecievedDateFrom RecievedDateTo

10;Oct;2008 14;Nov;2008

Corporate Actions and Unsponsored 1;Sep;2007 14;Oct;2008

Dividends 1;Sep;2008 14;Oct;2008

Mergers and Acquisitions & HOLDRs 1;Sep;2007 14;Oct;2008

Proxy 1;Sep;2007 14;Oct;2008

Relationship Management 1;Sep;2007 14;Oct;2008

Not Owned


33/45

CorporateActionType ISIN UnderlyingSecurityName

Annual General Meeting (AGM)

AT0000903851

Wipro

Cash Dividend Wipro

Cash Dividend Wipro


34/45

AllItemsInOwner

All; Not Owned;Corporate Actions and Unsponsored;Dividends;Mergers and Acquisitions & HOLDRs;Proxy;Relations







35/45

Related_ISIN MenuPathForNotification TargetDocument LocalRecordDate

INE075A01022

Profile;Upload Notification Underlying Corporate Action Notification 14;Oct;2008


36/45

MoveToEventName Comparison

No

ANZ


37/45

TestRunFlag TestCaseID TestCaseDesc

Y TestCase 1

Y TestCase 2

Y TestCase 3

Y TestCase 4

Y TestCase 5

Y TestCase 6

Y TestCase 7

Y TestCase 8

Y TestCase 9

Y TestCase 10

Successfully Navigate to Bulk Move screen and check for theCancel button.

To check for the existence/non-existence of the Bulk Move buttonfor the following : Approved Event Cancelled Event No ActionNeeded Event Pending Event Rejected Event

Successfully Navigate to Bulk Move screen for a Pending Eventand select all notifications.

Successfully Navigate to Bulk Move screen and search for the CAEvents based on Event Name

Search for the CA Events based on Event Date and verify theDate calendar in the Bulk Move screen

Successfully Navigate to Bulk Move screen and search for the CAEvents based on Corporate Action Type

Successfully Navigate to Bulk Move screen search for the CAEvents based on ISIN

Bulk move the notifications assigned from an event to anotherevent.

Partial Bulk move of the notifications assigned from one event toanother.

Verify that the information in the Underlying Event screenmatches with the Bulk Move screen.


38/45

MenuPath UnapprovedEventName ApprovedEventName

PROFILE;Underlying Event Gerdau

PROFILE;Underlying Event ABIL

PROFILE;Underlying Event

PROFILE;Underlying Event Gerdau




PROFILE;Underlying Event QXL

PROFILE;Underlying Event CGG Veritas

PROFILE;Underlying Event Telecom Corporation of New Zealand


39/45

CancelledEventName NoActionEventName PendingEventName RejectedEventName EventName

XYZ ANZ Bank ANZ Bank Statoil

ABIL

Acom

Acom

Acom


40/45

EventDate CorporateActionType ISIN

7;Nov;2008

AGM

SE


41/45

UploadNotification

Annual General Meeting (AGM)

Attachment

Bankruptcy

Bond Default

Bonus Issue / Capitalization Issue

Call on Intermediate SecuritiesCapital Gains Distribution

Cash Dividend

Change

Class Action

Company Option

Consent

Conversion

Coupon Stripping

Court Meeting

Decrease in Value

Detachment

DisclosureDividend Option

Dividend Reinvestment

Drawing

Dutch Auction

Exchange

Exchange Option

Extraordinary or Special General Meeting (EGM; SGM)

Final Maturity

Full Call / Early Redemption

Increase in Value

Instalment Call

Interest PaymentInterest Payment with Principle

Intermediate Securities Distribution

Liquidation Dividend / Liquidation Payment

Maturity Extension

Merger

Non-US TEFRA D Certification

Odd Lot Sale / Purchase

Ordinary General Meeting (OGM)

Other Event

Pari-passu

Partial Call

Partial Defeasance / Pre-fundingPay in Kind

Place of Incorporation

Priority Issue

Put Redemption

Redenomination

Remarketing Agreement

Repurchase Offer

Reverse Stock Split


42/45

Rights Issue / Subscription Rights / Rights Offer

Scrip Dividend / Payment

Shares Premium Dividend

Smallest Negotiable Unit

Spin-Off

Stock Dividend

Stock SplitTax Reclaim

Tender / Acquisition / Takeover / Purchase Offer / Buyback

Trading Status: Active

Trading Status: Delisted

Trading Status: Suspended

Warrant Exercise

Withholding Tax Relief Certification

Worthless


43/45

TestRunFlag

Y

N

Y

Y


44/45

TestCaseDesc

Successfully Navigate to DR Home page.

Successfully Navigate to any search page by selecting any of the menu's and navigate back to the home screen by cl

Navigate back to Corporate Actions Home page by clicking on 'Home'.


45/45

TestCaseID MenuPath1 MenuPath2 UserID OldPsw NewPsw

TestCase1

TestCase2

TestCase3 PROFILE;Underlying Event HOME;DR Home

TestCase4 PROFILE;Underlying Notification