GOTX Back Office Supervisor

Trading

GO TX Wealth Management SystemChittagong Stock Exchange

Table of ContentsGO TX Overview

Registration

Administration

Brokerage

Settlement

Accounting Statements

Accounting Transactions

Stock Accounting

Reports

GO TX 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 referred to as ‘Users’

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 Back office supervisor screens have three levels of viewing

My Level: Displays the data of the logged-in back office supervisor and offices below.

i.e. Results for all offices of the participant is displayed.

My Office: Displays the data of the office to which the back office supervisor belongs.

i.e. Results for the participant’s head office alone is displayed.

Other: Displays the data of a particular office, by selecting an Office ID.

i.e. Results for a particular office of the participant is displayed.

GO TX 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

Registration Monitor

Consolidates registration requests:

In Progress

Activated

Rejected

Drill-down from Head Office to Dealer

Registration Approval

Registration requests

Client additional requests

Request Status

Request history

Verification Details

Ageing Report

Processing time of a request

View by duration

Viewed for

Office

Dealer

Date range

Password Print

Print encrypted passwords

Verification process complete

Password printed on carbonized stationery

Password mailed next morning

Investor is activated

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 details

Investor Activation

Administration

BO Calendar

List of working days in a month for BO and exchange

Half days and holidays also displayed

Client SupportOrders Book

Trade Book

Limits

Cash Statement

Stock Statement

Payin/payout statement

Networth

Positions

Brokerage

OverviewBrokerage category assigned for each investor

Category contains brokerage plans for Equity trades in the following:

Each plan associated with a scheme

Plan may contain slabs

OverviewInvestor-level Overrides may be set for

Category

Stock / Underlying

Discount

Expiry

Plan-level Overrides may be set for

Basket

Brokerage Master

Brokerage schemes pre-defined

Create new plans

Add / Update slabs

Set basket override

Brokerage Category

Add brokerage category

Add scheme and plan to brokerage category

Update brokerage category

Delete brokerage category

Brokerage Override

Override brokerage schemes

Set for

Investor category

Stock

Override can be removed or cancelled

Tax View

Percentage of taxes levied by the exchange

Howla

Laga Charges

Advance Income Tax

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)

Brokerage Recompute

Reset the brokerage

Recompute the brokerage

Settlement

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

Net Position

Consolidated Trade Position

Aggregated for

Investor

Stock (drill-down)

Displayed for a trade date

Trade Modification

Trade modification requests

Option to change the investor code

Audit trail to track changes

Accounting Statements

GL Master Groups

List of master groups

Add / Update / Delete groups

Change sequence of groups

GL Bank Map

List of GL accounts related to banks

Add new bank detail

View details of each bank

Chart of Accounts

List of accounts maintained in GO TX

Types of accounts – Bank, Assets, Liabilities

Trial BalanceTrial Balance of the participant

Lists the debit balance and credit balance accounts

Market view for Equity

Balance SheetLists the total assets and liabilities

View the networth of the

Participant

Region

Office

Market views 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

Bank Book

Lists the broker’s bank accounts

Separate accounts for every product

Check the current balance in a account

Voucher Details

Displays details of a voucher

Account code

Investor/ Office code

Transaction description

Debit/ Credit

Reference details

Bank account

Reversal date and number

General Ledger

View general ledger of all accounts

View for a level or an office

Client Ledger

Displays all investor accounts

Details of ledger accounts for an investor or range of investors

Link to voucher details for each entry

Ledger Details

Details of ledger accounts

Parent Ledger Account

Child Ledger Account

Views

Summary view

Detailed view

Combined Ledger

Display for a single investor or range of investors

Single date or a range of dates

Sub Ledger Party Master

View the list of parties associated with each sub ledger

View the details of each party

Add / Delete parties for a sub ledger

Sub Ledger Master

Specific to a participant

Addition / Deletion by HO only; view for others

Add / Delete new sub ledger

View party details for the sub ledger

Equity Changes

Cash Flow Statement

Accounting Transactions

Client Deposits

Post ledger entries for cheques cleared on behalf of the investor

Reflects cheques received into participant’s bank account

Client Payments

Post entries related to investor’s cheque payments

Reflect cheques issued from participant’s bank account

Journal Entry

Post a journal entry

Double entry system

Bank Transfers

Post entries

Cheques issued from participant’s bank account

Cheques received into participant’s bank account

Fund transfers

Cheque returns

Cheque cancellation

Bank Reconciliation

Lists discrepancy between bank books and GO TX bank book

Reconcile bank books with GO TX bank book

Accounting PeriodDisplays the accounting period

Displays audit status for the year

View audit status for groups

General

Equity

Voucher Types

Voucher Types

Client Receipts

Lists the cheques submitted by investor to the broker

Back office process the cheques and accepts/ rejects them

Client Withdrawals

Lists the cheques submitted by investor to the broker

Back office process the cheques and accepts / rejects them

Cheque Print

Facility to print cheques for client payments

PDF file generated that can be printed on pre-printed stationery

Stock Accounting

Pay In

View stock owed to

Investors

Exchange

Auction Rate

Shows auction rate for given settlement type and date

Reports

Report TypesStocks

Scrip Ledger

Inward & Outward Register

Trades

Institutional Trades

Turnover Report

Trade Confirmation

Client Trade Analysis

Contract Register

Sauda Book

Client Trade Summary

ReportsSettlements

Valan Report

Ageing report

Client Statements of Account

Auction Square Off

Client Position Summary

Compliance

STT Year End Report

Client Account Statement

Client Margin Funding

ReportsAccounts

Receipts & Payments

Rec/Pay Voucher

Voucher Report

Bank Register

Journal Register

Branch Control Account Register

Creditor/Debtor

Trial Balance

Cheque No Details

Cash Book