Securities Lending Manager (SLM) User Guide

Transcription

1 Securities Lending Manager (SLM) User Guide 1 1

2 Deutsche Bank About Autobahn About Autobahn Autobahn is Deutsche Bank s award-winning electronic service. Since 1996, Autobahn has been connecting clients to Deutsche Bank s innovative Capital Markets products and services. Originally launched as an execution tool, the new Autobahn now offers an integrated experience, and provides electronic access to Deutsche Bank s wealth of sales, trading and research knowhow as well as seamless access to all of our transaction banking services. Autobahn is a simple, intuitive and consistent way for users to: 1. Gain unparalleled access to markets and liquidity 2. Electronically trade across multiple asset classes: Foreign Exchange, Fixed Income, Equities, Commodities, Credit, Rates and Emerging Markets 3. Intuitively access Deutsche Bank s powerful analytics and published content 4. 24/7 access to all of your transaction banking services, independent of physical location Autobahn. Evolving Intelligent Trading. 1

3 Deutsche Bank Contents Contents 1. Introduction Logging into Autobahn Launching Securities Lending Manager Views within Securities Lending Manager... 5 Return Call Ins Functionality Mark a trade as recalled Update Status Send In-App messages directly to Deutsche Bank Filter trades in view Export trades to Excel View audit trail of In-App messages and actions Pending and Fails Functionality Set priority for individual trades Send In-App messages directly to Deutsche Bank Filter trades in view Export trades to Excel View audit trail of In-App messages and actions Pre-Matching Iconography Contacts

4 1. Introduction Securities Lending Manager (SLM) is a central web application that facilitates: 1. Automation, generation and distribution of the daily Fails and Pending, Pre-matching, and Return Call Ins reports 2. An interface to directly manage Fails and Pending, Pre-matching, and Return Call Ins 3. Communication and resolution of failed/failing trades with DB s staff 1.1 Logging into Autobahn SLM is hosted on Deutsche Bank s Autobahn platform. To launch this App, you will first need to login to Autobahn: 1. Type into your browser (see Fig. 1.1) 2. Enter your username and password Note: Your login credentials are provided in the welcome upon initial registration to Autobahn. You can always change your password using the following link: /websso/sso_expiredpwdchange.sso?continuelink=https%3a%2f%2fwww.autobahnprofessional.db.com 3. Click Submit button 4. Click the Continue to original Autobahn Toolbar link in the centre of the page. Fig. 1.1 Logging into Autobahn 3

5 1.2 Launching Securities Lending Manager To Launch SLM from the Autobahn App Market 1. Select the Browse Apps section from the high-level navigation bar (See Fig. 1.2) 2. Click the Post Trade link in the left-hand menu 3. Select the Add to My Apps link 4. Click Launch Note: By selecting the Add to My Apps link, going forward, you will be able to launch the App from the My Apps section. Fig. 1.2 Launching Securities Lending Manager 4

6 2. Views within Securities Lending Manager There following views and options are available within Securities Lending Manager: Return Call Ins View and management of the Return Call Ins Pending and Fails View and management of the Pending and Failed trades Pre-Matching view View and management of Pre-matching future date trades Return Call Ins Functionality The Return Call Ins functionality provides you with the following functionality: Mark a trade as recalled Update status to Agreed or In Dispute Send In-App messages directly to Deutsche Bank Filter trades in view Export trades to Excel View audit trail of In-App messages and actions 5

7 1.3 Mark a trade as recalled The Set Priority function allows the user to mark a trade as Recalled. 1. Select the trade(s) you wish to mark as a Recall using the tick boxes 2. Select the More Actions drop down box, and Set Priority 3. Click the Recall button 4. A confirmation that you wish to Recall the trade will be shown and a red R will be displayed next to the trade 5. All messaging associated with Trade Retractions will be stored in the Massaging tab Fig. 1.3 Set trade priority In order to remove the Recall flag, follow the same process as above, you will see that the Revert Flag option is now active; by selecting this option you will remove the Recall from the trade. 6

8 1.4 Update Status Trade status can be updated between Agreed and In Dispute. 1. Select the trade(s) you wish to update the status for using the tick boxes 2. Select the More Actions drop down box, and Update Status 3. Click the Agreed button 4. A confirmation that you wish to set the trade status to Agreed will be shown 5. The Settlement Status will be updated to Agreed 6. Use the filter to search for trades in Agreed status, once applied these will be displayed in the dashboard. 7. All messaging associated with Trade Retractions will be stored in the Massaging tab Fig. 1.4 Update Status Trade status can be updated to In Dispute in the same way, trade status will change to In Dispute and can trades can be viewed by selecting In Dispute from the filter. Note: Once a trade(s) has been moved to Agreed this action can t be undone. 7

9 1.5 Send In-App messages directly to Deutsche Bank The In-App messaging tool is an essential component to the SLM App. There are two ways to post a message via the App. 1. Select the trade(s) you wish to add a message to using the tick boxes messages can be posted to single or multiple trades. 2. Use the Send Message box located at the top of the screen, or the Message box at the bottom right to initiate the message. 3. Use the pop up box to add your message, message history also appears here. 4. Click 'send' to commit the message and send directly to your Deutsche Bank Client Service team 5. Message communication direction and number is tracked via the trade dashboard. The icon will show a number and a colour, the number represents the total number of messages which have been posted to the trade, a red number indicates the last message was incoming, and a blue number indicates the last message was outgoing. Once the first message has been posted to a trade, further messages can be added by simply double clicking the relevant message bubble to open the message history. 6. View all messages associated to a trade by clicking on the message tab at the foot of the page. Fig. 1.3 Set trade priority 8

10 1.6 Filter trades in view The filter can be used to search using specific trade details. The filter is available in all screens where trade details are displayed. The filter can be split into 2 sections: 1. Trade Life Cycle Choose between Open and Archived trades. 2. Filter Select any option within the filter to search for specific criteria. To activate the options selected within the filter, click Apply, or Clear All to reset all categories. It is possible to select more than 1 filter at a time, e.g. Settlement Status = Unmatched and Value Date = 03 Jun

11 1.7 Export trades to Excel Exporting to Excel can be done easily using the Export button at the top of the screen. Use either the filter to display the trades you require, or extract all trades in your dashboard view. 1. Click the Export button to extract trades in view 2. Report is visible at bottom of screen, click to open in Excel or save. Fig. 1.7 Export trades to Excel Please note: Export functionality is limited to a maximum of 10,000 trades. If you exceed this an error message will appear: 10

12 1.8 View audit trail of In-App messages and actions A full audit history is available for every trade within the App. Select the Audit Trail tab, all actions performed by the client will audited. Fig. 1.8 View audit trail 11

13 2. Pending and Fails Functionality The Pending and Fails functionality provides you with the following functionality: 2.1 Set priority for individual trades I. Facing Buy In II. Recall III. Revert Flag 2.2 Send In-App messages directly to DB 2.3 Filter trades in view 2.4 Export trades to Excel 2.5 View audit trail of In-App messages and actions 12

14 2.1 Set priority for individual trades Setting the priority for a trade is split into 3 functions Facing a Buy In, Recall and Revert Flag All three functions are located under the More Actions tab I. Facing Buy In Select the relevant trade(s) using the tick box Open the drop down list under the More Actions action box and select Facing Buy In You will be asked to confirm you wish to set the priority to Facing Buy In Trade Flag will be shown on all trades marked as Facing Buy In as per below screen shot 13

15 II. Mark a trade as recalled Trades can be marked as Recalled in the following way: Select the relevant trade(s) using the tick box Open the drop down list under the More Actions action box and select Recall You will be asked to confirm you wish to set the priority to Recall Trades set to Recall will be shown with a red R as per below screen shot 14

16 III. Revert Flag The Revert Flag function allows a user to clear the priority flag on a trade set to either Facing Buy In or Recall Please note: Recall and Facing Buy In flags set by DB can only be removed by a DB user Select the relevant trades using the tick boxes Open the drop down list under the More Actions action box and select Revert Flag You will be asked to confirm you wish to clear the priority flag Recall or Facing Buy In flag will be removed from the trades 15

17 2.2 Send In-App messages directly to Deutsche Bank 1. Select the trade(s) you wish to add a message to using the tick boxes messages can be posted to single or multiple trades. 2. Use the Send Message box located at the top of the screen, or the Message box at the bottom right to initiate the message. 3. Use the pop up box to add your message, message history also appears here. 4. Click 'send' to commit the message. 5. Message communication direction and number is tracked via the trade dashboard. The icon will show a number and a colour, the number represents the total number of messages which have been posted to the trade, a red number indicates the last message was incoming, and a blue number indicates the last message was out going. Please Note: Once the first message has been posted to a trade, further messages can be added by simply double clicking the relevant message bubble to open the message history. 6. View all messages associated to a trade by clicking on the message tab at the foot of the page. Fig. 2.2 External Messaging 16

18 2.3 Filter trades in view The filter can be used to search using specific trade details. The filter is available in all screens where trade details are displayed. The filter can be split into 3 sections: 1. Trade Life Cycle Choose between Open and Archived trades. 2. Filter Select any option within the filter to search for specific criteria 3. To activate the options selected within the filter, click Apply, or Clear All to reset all categories. It is possible to select more than 1 filter at a time, e.g. Settlement Status = Unmatched and Value Date = 03 Jun

19 2.4 Export trades to Excel Exporting to Excel can be done easily using the Export button at the top of the screen. Use either the filter to display the trades you require, or extract all trades in your dashboard view. 1. Click the Export button to extract trades in view 2. Report is visible at bottom left of screen, click to open in Excel or save. Please note: Export functionality is limited to a maximum of 10,000 trades. If you exceed this an error message will appear: 18

20 2.5 View audit trail of In-App messages and actions A full audit history is available for every trade within the App. Select the Audit Trail tab; messages will be displayed, as well as any trade actions. 19

21 3. Pre-Matching 5 main components of the Pre-Matching View (Refer Fig. 5.0 below) 1. Main View Trade blotter and action buttons 2. Details tab Full trade details, Swift Info, Messages history, Audit Trail 3. View - Switch between available Views 4. Trade Life Cycle Tab - Switch between Open and Archived trades 5. Filters Filter trades using various fields Fig. 3.0 Pre-Matching View Note: All actions are the same as those in the Pending and Fails view and therefore will not be repeated. 20

22 4. Iconography See Fig. 4.1 below for details of the various icons used within Derivative Documentation Affirmation. In order of priority, a red flag ranks the highest, if a trade is already marked with a red R, a red, or an amber flag, applying a red flag will supersede any them. A red R will supersede either a red, or an amber flag only. A red will supersede an amber flag only. Fig. 4.0 Icons Explained 21

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