XONTRO Order. Banks. Registration XONTRO

Transcription

1 XONTRO Order Banks Registration XONTRO Release: 18th May 2009

2 Page 1 Please send pages 1 10 back to: BrainTrade Abt. XONTRO Order Neue Börsenstrasse 1 D Frankfurt Main Phone: (0) Fax: (0) Bank: Already existing Clearstream banking account(s): Swift-address (12-digit): XETRA -Member-ID (5-digit): Contact: Department/Function: Telephone number: Fax number:

3 Page 2 1. New connection XONTRO As from 01. we will participate at further stock exchanges with the following new Clearstream banking account numbers: Exchange mark with a cross Clearstream banking a/c. Berlin Max-One Hamburg Düsseldorf Stuttgart Frankfurt Hannover Investro / EUFO MT511/OTC Entry for foreign Original Order accounts exists MT511/OTC KV-No. Xetra Realime contract notes

4 Page 3 2. New connection XONTRO We will use one of the following connection types: a) XONTRO Dialog Connection b) XONTRO System Connection 1 If you are admitted to several stock exchanges: (see Chapter 1.8 Connection Types, Technical Connections) Centralized solution via (Clearstream banking a/c) Decentralized solution SWIFT-Orderrouting via XENTRIC to Xetra 2 1 The standard package includes the dialog application as a backup solution for system connections. 2 It is possible, to route orders in SWIFT-format to XETRA via the product XENTRIC, which has been developed by Deutsche Boerse Systems AG.

5 Page 4 3. IMS-Connection Does a connection to Deutsche Boerse Systems AG already exist? Yes No 3.1. Definition of connection type Connection name Connection type LU 6.2 / APPC XENTRIC Order for XONTRO via TCP/IP XENTRIC Order IP-Link via TCP/IP Customer system type CICS IMS UTM XENTRIC Order for XONTRO 3.2. VTAM APPL-IDs / LU-name Systems - LU 6.1 Production system Systems - LU 6.1 Test system Systems - LU 6.1 Acceptance system IMS1 IMS29 IMS27 Systems - LU 6.2 Production system Systems - LU 6.2 Test system Systems - LU 6.2 Acceptance system DEBDZA11 DEBDZA29 DEBDZA27 Customer Production system Customer Test system (IMS29) Customer Acceptance system (IMS27) (if available)

6 Page MQ-Series Queue Manager name Customer Production system Customer Test system (IMS29) Customer Acceptance system (IMS27) (if available) 3.4. XENTRIC Order for Xontro MQ-Queue- Manager-Name IP-Address Port Customer Production Customer Test sys. (IMS29) Customer Acc. sys. (IMS27) 3.5. XENTRIC Order IP-Link MQ-Queue- Manager-Name IP-Address Port Customer Production Customer Test sys. (IMS29) Customer Acc. sys. (IMS27) 3.6. Receiver - Processes or transaction codes Systems - BC$nnnnA (nnnn = bank account) For APPC, the process names in the customer system are mutually coordinated and defined. The following definitions apply to all other cases: Customer - BC01nnnn Customer - BC02nnnn Customer - BC03nnnn Customer - BC04nnnn (nnnn = bank account) (nnnn = bank account) (nnnn = bank account) (nnnn = bank account)

7 Page Registration in test IMS29 of DB-Systems ID-KZ: nnnn (nnnn = bank account) Password Dates Implementation Test system Implementation Acceptance test system Implementation Production system (if available)

8 Page 7 4. List Creation (for dialog connections) 4.1. Order deletion list We intend to have order deletion lists printed out in our firm YES NO 4.2. Fundorder position lists We intend to have Fundorder position lists printed out YES NO 5. File Creation (for system connection) 5.1. Order position reconciliation We intend to use the order position reconciliation YES NO 5.2. Historical message file We intend to use the historical message file a) Daily YES NO b) On request, as required YES NO 5.3. Fundorder position reconciliation We intend to use the fundorder position reconciliation YES NO

9 Page 8 6. Processing Control Please note that, within the function information and technical services. The Pages 1 of the transaction processing control [BCIN BV] must be Maintained from your firm Bank - internal order number Unambiguous BI order number YES NO (Filled by Brantrade) 6.2. Other parameters a) Order positions modification due to supplementary rights YES NO Information at order level YES NO ('YES' only, if a) is 'YES') b) Protocol of all Terminal entries YES NO c) Order execution YES NO Notification of spot price fixing: 3 = individual execution d) Info quote suspension / readmission YES NO e) Info extension of order acceptance YES NO f) Info Stock Exchange Council YES NO g) Info plus/minus announcement YES NO h) Price change/ entry / deletion YES NO i) State change of Stopp-Loss / Stopp-Buy Order YES NO (Trigger Message) 6.3. Investro Processing Control a) SWIFT-Protocol of all terminal entries YES NO b) SWIFT-Protocol trade confirmation YES NO

10 Page 9 7. MT511 / OTC-Trades 7.1. Customer s message processing Transfer of OTC-trades possible YES NO 8. Documentation On expiry of the online period, the historical orders will be deleted from the XONTRO Order history. 9. Contact persons (please fill out) operating: (christian name) (name) ( ) (telephone) (fax) technical: (christian name) (name) ( ) (telephone) (fax) newsletter: (christian name) (name) ( ) (telephone) (fax)

11 Page IMS Generated Screens The XONTRO application is controlled through the IMS 3270 Emulation data base system or HOB RC VPN-access via internet of Deutsche Boerse Systems AG. You therefore need IMS-generated screens to be able to use the XONTRO dialog application. The standard package includes the dialog application as a backup solution for system connections. XONTRO can also be operated on screens on which applications such as Xontro- Trade, WSS or TRICE are used. If you have not yet generated screens and/or printers, or further screens are to be generated, then please contact the Deutsche Boerse Systems AG Helpdesk at +49 (0) (Date) (Signature/s)

12 Page Notes (please do not send back) ad 1 New Connection XONTRO Admission to trading at the stock exchange in question is a precondition to using the XONTRO trading system or the SNA order routings. Please submit the application for admission to the management of the relevant stock exchange. At Frankfurt Stock Exchange, please apply to the department: Member Services & Admission. ad 2 Connection Type You basically have a selection of two possibilities for connection to XONTRO : Dialog connection and system connection. The dialog connection is implemented as backup solution for system connections and also as a temporary solution until a system connection is in service. a) Dialog Connection (Terminal Connection) The XONTRO dialog connection is especially suitable for banks with small and medium order volumes and if only a small number of screens are being used. All necessary functions (e.g. order entry, alteration and deletion) are provided by Deutsche Boerse AG. Own programming or adjustment of your firm s software is therefore unnecessary. b) System Connection A system connection is especially suitable for banks that, due to high order volumes, operate their own securities trading and settlement systems and want to connect to the Deutsche Boerse AG s mainframe through an interface. This so-called application-toapplication connection is a direct connection between the banks s in-house system and the stock exchange s host system. Data exchange of both systems are near SWIFT format. The individual connection types, as well as the near SWIFT message types, are described in detail in the Technical Connections handbook.

13 Page 12 ad 4.1 Order positions lists Banks with dialog connection have the possibility of creating order positions lists. The order positions lists include all orders entered in XONTRO that are still pending on the following stock exchange day. Executed, deleted or expired orders will no longer be displayed. The order positions data is made available following the end-of-day processing and contains all essential order information that was entered in XONTRO, extends DWZ order number and the exact time of the data entry. Issue can be either daily, end-of-month or to the end of the half-year. With the help of the CA Spool printout control system, your bank prints out the order positions lists on the morning of the next business day. This service is free of charge. Your bank s valid system settings are shown on page 2 in the field Request Order Positions List in the Processing Control [BCIN BV]. ad 5.1 Order positions reconciliation Item 5.1 is only to be filled out by banks with a system connection. The order positions reconciliation encompasses data of all your bank s valid orders existing in the Deutsche Börse AG s trading system on the following trading day. The order positions reconciliation is determined in the end-of-day processing and is delivered to you via file transfer. You can use the order positions reconciliation to ensure data consistency between your in-house system and the Deutsche Börse AG s trading system. ad 5.2 Historical Message File Item 5.2 is only to be filled out by banks with a system connection. The historical message file (HMF) contains all SWIFT messages sent during a stock exchange day from DBAG to the system base. Querying missing information by retrieval is only possible during a stock exchange day. If missing information is not noticed until the following stock exchange day, this information can only be reconstructed through HMF. A retrieval request will be

14 Page 13 unsuccessful in this case. You must apply for installation of the historical message file (HMF). In so doing, you can specify whether you would like to receive the HMF automatically every day, or only in isolated requested cases. Use of HMF is free of charge. It s a backup system for realtime contract notes, too. ad 6 Processing Control Please note that pages 1 and 2 of the transaction processing control [BCIN BV] within the XONTRO function information and technical services must be maintained by your firm. For a detailed description of possible settings, please refer to the XONTRO handbook for banks. ad 6.2 Other Parameters Section 6.2 is only to filled out by banks with a system connection. For a detailed description of possible settings, please refer to the XONTRO handbook for banks. ad 8 Documentation The historical orders (executed, deleted or expired) will be deleted from the XONTRO order history on expiry of the online period (previous month and current month).