Modules Functionality Description. BSE UCC File,NSE UCC File Generate. Download Feedback of Activatin. Script group/category. Script group haircut

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1 Module Details Modules Functionality Description Registration Module Application Inward & Rejction Handelling Application process Client Code Creation KYC KRA Data Upload UCC Upload UCC FeedBack Client Mapping Registration Registration Registration Master & Trade Process Module Client Master Scrip Master BSE UCC File,NSE UCC File Generate Download Feedback of Activatin ODIN NOW OMNISYS Export Dealer mapping provision Script group/category Script group haircut To activate at BSE Cash segment module required for registration file upload at BSE To register at front office module is required to generate the registration file at given softwares At the time of file export for front office, dealer name should come in file in order to map the with that dealer, it will be derived from dealer master NSE, BSE wise, with trade to trade scripts, import utility for BSE, NSE Script master To decide the margin on selected group scripts, with import module Master Calender for BSE and NSE, WITH AUCTION CALANDER - Upload of settlement calender Exchange Master Depository Master DP Master CM Master CM Accounts Master Bank Master Bank Account master Broker Master Sub-broker Master Sharing master To define all types of account like, CM Pool, CM Principal, CM benificiery To maintain the identification of various account and settlement account master where we can define the Rate of brokerage sharing for remeshire, category of system to be accessed for brokerage Flexible brokerage, Transaction fee & margin charges at level Master Prepaid brokerage Turn Over Base Client Prepaid, where we can have the credit in account at the time of account opening and brokerage will be deducted from that amount till certain period of time There will be s category, and we will be able to map the brokerage at the category level, so at the time of activation instead of entering whole brokerage structure, we will map only category

2 Taxes & Charges Master Stamp Duty Master, state wise Interest rate Master Service Tax Master STT Master In order to calculate the Stamp Duty and prepare challan, In order to charge for late fund receipt service tax master with effective date STT master for calculation of STT Exchange Turn over tax Master Master at level DP Charges Master for debit transactions Turn over tax, exchange SEBI & Charges Generation & Verification Contract Generation Bills Generation Obligation Module Gross Exposure Client, Sub Broker, Security wise level turnover report Turnover Report at various level,,sub broker, branch etc Net Exposure Fund Obligation toward Exchange Security Obligation toward Exchange Fund Obligation toward Clients Security Obligation toward Clients Internal Obligation of Fund Internal Obligation of Security s Obligation Data uploading and Obligation Matching Stock Pay Out Obligation Calculation Stock Pay in Obligation Calculation VAR Upload ELM upload Client wise STT Import BTST ( Buy Today Sell Tomorrow ) provision LTP File Upload Penalty file download Trade file import - - Based on trades done and settlement cycle system should calculate the Stock Pay out Obligation after netting, more over specified stocks as per Exchange should be excluded from netting Based on trades done and settlement cycle system should calculate the Stock Pay in Obligation after netting, more over specified stocks as per Exchange should be excluded from netting to calculate the margin to calculate the margin At the EOD, wise STT file will be provided by exchange and that will be uploaded in back office, it will be required to generate the contract note day wise closing price to be maintained Last Trading price file upload for price In any case if the penalty is charged by the exchange ti member /, then file will be downloaded from exchange and uploaded in back office Trade file import in back office and according to that margin update, acc entries should be

3 processed Trade settlement Module Fund Summary - Client Daily Trade Confirmation, Trade Summary, Day Net Obligation Trade summary with detailed drill down at ISIN, at level Daily trade summary with all fund and security obligations Drill down report for Trades Summary - Exchange Summary - Subbrokers Summary - PRO Account Security Pay-in from Reconcilation Bill Process Remisier/AP - Pro Account DEMAT - SHARE RECONCILIATION DEMAT - SHARE RECONCILIATION SPEED-e, EASIEST, file import Inter Delivery Order Cross Depository Transactions Auction management Inter Depository Pay-out Allocation BTST Trades BTST ( Buy Today Sell Tomorrow ) provision Pool Transfer Stock Pay Out Stock Pay In Beneficiary to Pool/Principal Beneficiary to Early pay in BO to Principal BO to Early Pay in Direct Pay Out Pay out Pool to Client Beneficiary Bill Processing for remeshire brokerage calculation and processing Effect of Pro account and reports wherever required Exchange will give the pay out file and that will be uploaded in back office, and of the payout should be done and shortage should be identified via report Exchange will give the Pay in Obligation file, that will be uploaded in back office and it will reconcile the pay in of securities,after that exchange will give the confirmation of the pay in, which will be uploaded in system and reconciled All give file format should be supported in back office in order to give effect of DIS Cases where stock is sold for pending obligation In case where we want to do the early payin In Case of Normal pay in DIS will be generated for BO account to Principal account Where We need to do the early Pay in, DIS will be generated for BO to early Pay in Whenever auction trades happens respective DIS should be generated for all above operations Direct payout file for exchange, where we will upload the file at exchange and exchange will transfer the stocks directly in s account day wise closing price to be maintained Cases where fails to make the payment or any obligation is pending from side, the stock will be transferred to beni acc

4 Pay-out toward Corporate Action Account Module Auction management Bonus shares Scrip Merging - Pay out Pool to Client BO Pay out Client beneficiary to Client BO Normal Pay out where security is received in pool account When fund is received or obligation is cleared stock will be transferred to the BO account Whenever auction trades happens respective DIS should be generated for all above operations In case where Bonus is declared, there should be provision in back office to enter the Ratio of bonus and accordingly effect will be given, effect in DIS wherever stock is to be given to In case of merging provision should be there in system in order to update existing scripts records as per new script Funds Receipt and Pay-out Entry Accounting Operations Bank Reconcilation Check receipt Entry Interest calculation with auto JV posting monthly, weekly & daily FUND RECONCILIATION FUND RECONCILIATION Auto Bank Reconciliation Receipt entry for cheque received from Fund Pay Out Fund Pay In For cases where late fund is received by, system will calculate the applicable interest rate and accounting entries will also be posted Exchange will give the Fund pay out file and that will be uploaded in back office, and of the payout should be done and shortage should be identified via report Exchange will give the Fund pay in file and that will be uploaded in back office, and of the payout should be done and shortage should be identified via report Auto Bank provision where HDFC and ICICI statement will be imported in back office and system will auto reconcile the entries Cheque dishonored/bounced details Report Client Desk Fund Withdrawal request Client can give fund withdrawal request online that will be reflected in back office system Running acc authorization, quarterly and monthly selection Date selection for fund pay out Funds Pay-out Ledgers Trial Balance Client Fund Payout Client Fund Payout Fund Payout Fund Payout Online Request module for customer to give the withdrawal request Authorization Module for fund withdrawal requests where specific user will confirm all the withdrawal requests, in given utility system will calculate all the obligations according to settlement cycle Shortages Module Pay-in Shortage Pay-out Shortage Auction Sqaur-off

5 Internal Shortages Charges / Penalty Module Statutory Charges Application Penalty Charges levied from Shortage Debit Process In case of Shortage of Fund payin at level, stock debit file should be generated from back office MIS & Reporting Client holding with stock valuation Client net position with margin Accounting Client Holding with stock valuation Client level Net Position report with available margin Stock Accounting, as per compliance requirement we need to maintain stock accounting and report should be available for that, which is to be given to s Daily summary on admin ID Clients Report All type of SMS Report Statement STT Certificate to STT certificate to Auto ing in every report 0 Account communication As and when comes to the 0 Account position auto imitation should be sent to, Contract Note Stock statement Client Desk Trade report Client Desk P&L report Short tem and long term Client Desk Statement Client Desk Ledger Report Associate Report AP, Remiser Income report Income report for Remiser and AP, exchange level and consolidated Business Report Report Service tax register Report Statutory Report & Funding Stamp Duty Challan Stamp Duty master for state level is required, Stamp duty will be calculated on the basis of state/city mapped with the Method Master, T day, T+1 Day, T+2 day, Client stock holding upload Client calculation and File Export calculation methods, which can be mapped at level Client Holding upload in back office, basd on this data system will calculate the level level security obligation, only free stocks should be available in margin To upload the limit at the front end, margin file should be generated as per specified NOW, ODIN Format,Omneysys it will include both the limits cash and holding margin as well

6 Cheque receipt Entry / Online Transfer Deduction of, STT and Stamp Duty from margin and then upload to Front office To update the limit of, provision should be there to give limit on cheque entry or cheque clearance level, system will deduct defined brokerage, STT, Stamp Duty, service TAX and after that net margin will be uploaded at NOW Business Associate Customized Hair-cut at ISIN or Category level/ exchange file upload in back office system Gross exposure margin Risk & RMS report Family/Remeshire/Branch/Client wise risk limit Funding report for Exchange Bonus shares IPO AP, Remiser Income report Payment Turn Over Base Remeshire Sharing Security System ( wise permission / Add-Edit-Delete- Full Lock) with make checker facility Branch Level Menu Level Role defining and Access To provide margin facility on stocks, hair cut provision should be there at category or specific stock level As per compliance requirement Funding report should be generated according to exchange format In case where Bonus is declared, there should be provision in back office to enter the Ratio of bonus and accordingly effect will be given, effect in DIS wherever stock is to be given to TO be checked, Fund accounting and refund mechanism after allotment of shares Income report for Remiser and AP, exchange level and consolidated After bill process, payment of brokerage to remishere with the respective accounting entries Where we can define a specific role and can give the access to other user based on the same

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