gotx office supervisor

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