GOTX Office Supervisor Trading GO TX Wealth Management System Chittagong Stock Exchange
Jan 20, 2016
GOTX Office Supervisor
Trading
GO TX Wealth Management SystemChittagong Stock Exchange
Table of ContentsGO TX Overview
Registration
Monitoring Trading Activity
Risk Monitoring
Settlement
Accounting
GOTX Overview
GO TX System HierarchyMultiple participants
Hierarchy of offices for each participant
Only one office at the top level (the Head or National Office)
Multiple offices at subsequent levels
GO TX System HierarchyParticipant defines the number of levels in the hierarchy
3 Default levels:
National
Regional
Branch
UsersEmployees 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
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
GOTX System HierarchyPre-defined set of facilities for each role
Facilities may be enabled or disabled
Multiple roles for an employee
Scope of users’ authority is restricted
Log on
Access through User ID and Password
Restricted number of attempts
Automatic session expiry
Change Password
Force Change of Password on first time logon
Reset password to be requested in case of expiry
Registration
Client RegistrationClient 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
Registration FormOnline 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
Investor MaintenanceView 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
Monitoring Trading Activity
Logon Monitor
All those logged into GO TX
Investors
Employees
Application type
Browser logins
DWS logins
Drill down views
Office
Individuals
Logon history
Trade Monitor
Trading activity through GO TX
Investors and dealers
Drill-down from participant-level to investor-level
Order Book
Equity Orders for all investors
Orders placed through GO TX
Current status of active orders
Final Status of inactive orders
Historic data
Trade Book
Historic data
Download to file
Screen view
Dealer Trades
All trades
All Equity Trades for
Traded orders
Average traded price
Trade Summary
Equity Trades for
Aggregated for exchange
Drill-down from exchange to investor
Turnover and number of trades
Brokerage MIS
Brokerage charges
Views
Office (drill-down)
Investor
Group data according to:
Settlement number
Date
Scrip
Brokerage scheme
Top Brokerage
Highest contributors towards brokerage
Offices
Investors
Computed for a date range
Levies and Taxes
Aggregation of levies and taxes
Views
Investor view
Office view (drill-down)
Client ViewsOrder Book
Trade Book
Positions
Margin Statement
Cash statement
Stock Statement
Payin Payout Statement
Networth
Risk Monitoring
Investor Risk ParametersView 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
Client-wise MTMMTM 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
Credit Risk - Credit Audit
Lists investors with additional credit
Supervisor who granted/ decreased credit
Amount of increase/ decrease
Settlement
Contract NotesSummary of all contract notes available
Document confirming the trades for and behalf of an investor in equities
Generated for each settlement type for equities
Corporate ActionsList 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
Accounting
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
Client Withdrawals
Cash withdrawal requests of investors
Back office process the cheques and accepts / rejects them.
A supervisor can add a payment
StatementsClient Ledger
General Ledger
Ageing Report
Balance sheet
Trial Balance
Receivables
Payables
Client Details
Details of ledger accounts
Parent Ledger Account
Child Ledger Account
Views
Summary view
Detailed view
Balance SheetLists the total assets and liabilities
View the networth of the
Participant
Region
Office
Market views for Equity
Trial BalanceTrial Balance of the participant
Lists the debit balance and credit balance accounts
Market view for Equity
Receivables
Lists investors who have account receivable balance
Type of receivables
Client receivables
Client margin held
Investor shortage
Client interest charges
Payables
Lists investors who have account payable balance
Type of payables
Client payables
Investor cash book
Investor membership
Prepaid brokerage
Online cash book
General Ledger
View general ledger of all accounts
View for a level or an office