ojbc sc06 trade validations dx and vc customer tsd v0.6

8/11/2019 OJBC SC06 Trade Validations DX and VC Customer TSD v0.6

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&O'(%I)T *++ - *++ TEMENOS E!"#$!%TE%S S!. !// rights reser0ed.

RODUCT-LEVEL 2 &3

TECHNICAL S ECIFICATION DOCUMENT

OJBC HONG KONG CO.LIMITED

SC06 Trade/Order Validation ! D" Kno#led$e and VC C%to&er


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Technical Specificai!n

Amendment History

Verion Date'%t(or /C(an$ed B)

Stat% C(an$e De*ri+tion

+.1 *1 2u/ *+13 %aghunandan "raft

+.* *4-2u/-*+13 !hi/a N ,e-ie# %e0iew comments pro0ided

+.4 *3-2u/-*+13 %aghunandan +dated !ddressed %e0iew comments

+.3 *5-2u/-*+13 %aghunandan$pdated

$pdated with new temp/ate to storecustomer no6s when customer turns75

+.5 *-2u/-*+13 Madhusudan SME,e-ie#

&omments %aised

+.7 *-2u/-*+13 %aghunandan $pdated &omments addressed

Sign Of History

Verion Date Te&eno '%t(oriation Client '%t(oriation

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Table o Contents

. Mana$e&ent S%&&ar).........................................................................................

1. 2%n*tional O-er-ie#.............................................................................................6

3. O+erational O-er-ie#...........................................................................................4

. ,e%a5le Co&+onent.......................................................................................1

. Ne# / '&ended 2ile..........................................................................................3

6. Te*(ni*al O-er-ie#.............................................................................................10

7. Ne# Ta5le...........................................................................................................1

8. S%5ro%tine.........................................................................................................11

4. '++endi9..............................................................................................................31

0. '**o%ntin$..........................................................................................................31

. Li&it...................................................................................................................311. COB :ro*ein$..................................................................................................31

3. '%&+tion.......................................................................................................31

. De+enden*ie/E9*l%ion..................................................................................33

. Tetin$ Note.......................................................................................................33

6. :a*;a$in$ / Intallation......................................................................................33

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1. Management Summary

This "e0e/opment is aimed to pro0ide so/utions to 0a/idate that the customer performingtrades in0o/0ing deri0ati0es /in8ed in0estment products has ade9uate 8now/edge on these

instruments. !nd such trades for un9ua/ified customers wi// be b/oc8ed.In addition to the abo0e, Introduction of f/agging :u/nerab/e &ustomers in the system and0a/idation of trades performed by :& customers and re/ated o0erride processing are a/so wi//be managed.

1.1 Background

This document describes the re9uirements and so/utions for additiona/ trade 0a/idations for&ustomers trading on "eri0ati0es /in8ed products, sa/e of In0estment products to :u/nerab/e&ustomers and &/ient suitabi/ity chec8s.

These gaps ha0e been documented in the "e/ta ;og document with I" S&+*!I6s? to perform additiona/ 0a/idations on sa/e of In0estment productsto &ustomers

Sale o= Deri-ati-e lin;ed :rod%*tVC?!ge 75 or abo0e?.

Client %ita5ilit) *(e*; on ale o= In-et&ent :rod%*t to C%to&erSoft Darning? message. Bac8 office $ser can appro0e those o0erride and ta8e the trade tocomp/etion.

- These trades wi// not f/ow to S%M 9ueue for appro0a/ but instead f/ow bac8 to Bac8Office $ser authorisation 9ueue for Bac8 Office Super0isor6s appro0a/.

C%to&er En@%irie < VC C%to&er =la$

!mendment to existing Mode/ Ban8 en9uiries and be/ow new en9uiries >point b? toinc/ude :& customer f/ag@identifier

a. To produce a /ist of :& customers >under a particu/ar %M?, dri// down to /ist oftrades done by :& customers, etc.

b. :& customer as one of the se/ection criteria in

i. $nrea/ied /oss reports >"e/ta S&+*4?ii. %is8 concentration monitoring >"e/ta S&++4?

Client S%ita5ilit) -alidation a +er ,i; ,atin$ &atri9

!s part of Trader@Order 0a/idations, O2B& wou/d /i8e to perform &/ient suitabi/ity chec8s onsa/e of in0estment products to its customers.

&/ient suitabi/ity 0a/idations wi// be performed on a// &ustomer6s Btransactions

- Securities Order@TradeJ Transaction type - B$(

- Mutua/ Aunds H Order6s and TradeJ A'% >Aund 'urchase?, S(I >Switch In? and S('>Systematic In0st. '/an? transaction types

- Structured 'roduct J S(- "&I and &%!N trade inception

#. O+erational O!er!ie"

a. Deri-ati-e Kno#led$e Validation!M.MIAI".%IS=.&;!SS?

I= :rod%*t,i; le-el=all onNon!GreenFoneC%to&er iVC

No < )reen one H NoO0errides raised

%M performs '$%&!SE Trade@Order of

in0estment products.

T*3 app/icationsJ Sec.Trade, Sec.Open.Order,MA.Order@Trade, S(."&" and S(.OT&&%!N


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,. $eusable Com+onents

,.1 ack $eusabilityN!

,.2 $eusable Com+onents Table

N!

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Di+la) %ita5le O-erride &ea$e 5aedon di==erent *olor Aone%M !ccepts the O0erride message andcomp/etes the transaction

%ecord Status set to IN!$ with O0erride c/ass

Transaction mo0ed to S%M authorisation 9ueue

End

Senior ,M %e%eoption ?. Transaction wi// be b/oc8ed with anerror message if the customer is not a 9ua/ified customer >option not responded? andotherwise transaction wi// go on to the next 0a/idation of chec8ing whether customer is a

:& customer by chec8ing the new /oca/ fie/d introduced as part of this de0e/opment. !no0erride wi// be disp/ayed if the customer is a :& customer. %M can appro0e andcomp/ete the transaction.

V%lnera5le C%to&er -alidation"!TE.OA.BI%T? fie/d and assign it

to (."!TE.OA.BI%T.

!ssign system date TO"!( to (.TO"!(.

Aetch %.NED of /oca/ fie/d ;4.:&.&$STOME% with position as

(.;4.:&.&$STOME%.'OS in to (.;T.:&.&$ST

If (.;T.:&.&$ST E# 6 then proceed e/se %ET$%N

&a/cu/ate (.&$ST.!)E using (."!TE.OA.BI%T and (.TO"!(

by using &"T function and assign it to (.&$ST.!)E

%ead the tab/e O2B&.S(.&OMMON.'!%!M>Tab/e wi// be

created as part of AS" S(+1? with id as I".&OM'!N( andget the 0a/ue from :&.!)E and assign it to (.:&.!)E.

Aetch the 0a/ue of BI%T.IN&O%'."!TE and assign it to

(.BI%T.IN&O%'."!TE .

&a/cu/ate ;4.:&."!TE by adding (.BI%T.IN&O%'."!TE and

(.:&.!)E.

If (.&$ST.!)E )E 6 (.:&.!)E>parameterised, by defau/t its

75? then proceed e/se %ET$%N

$pdate the /oca/ fie/d ;4.:&.&$STOME% as (ESF

&a// STO%E.O:E%%I"E to disp/ay message from O:E%%I"E

record O:.O2B&.:&.&$STOME%F

%eturn End

Specia/ Instructions N!

=.# O8BC.B.7C.C6ST.6%.4OA%

:ro+ert) S+e*i=i*ation

Type B

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!ttached To B!T&BN=@O2B&.B.:&.&$ST.$'"

!ttached !s Batch routine

"ependency N!

"escription This Batch 2ob wi// se/ect a// Non :& customer >Aie/d :&.&ustomer NEE# (esF? records and chec8 for if any of the &ustomers e9ua/s the ageas 75 or abo0e due to &OB date change. If (es, then &ustomer recordis mar8ed as :& customer.

!rguments H IN N!

!rguments H O$T N!

're/im &onditions N!

Subroutine A/ow Open necessary fi/es and initia/ise necessary 0ariab/es


=., O8BC.B.7C.C6ST.6%.S/4/CT


Type B



"ependency N!


!rguments H IN N!

!rguments H O$T N!


Subroutine A/ow

Se/ect the records Arom the tab/e O2B&.:&.&$ST.;IST with

id e9ua/ to TO"!(.


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=. O8BC.B.7C.C6ST.6%


Type S



"ependency N!


!rguments H IN %E&O%".I"

!rguments H O$T N!


Subroutine A/ow

%ead the /oca/ tab/e O2B&.:&.&$ST.;IST with id as

%E&O%".I" and fetch the &$STOME%.NO fie/d 0a/ues andassign it to (.&$STOME%.NOS.

Aetch each customer no6s using /oop whi/e repeat and assignthe id to &$ST.I".

%ead the customer app/ication with id as &$ST.I" with

record buffer as %.&$S.

If NOT>%.&$S? TEN

MESS!)E.INAO L66

MESS!)E.INAO1LF!'';I&!TION N!MEF

MESS!)E.INAO*L%E&O%".I"

MESS!)E.INAO4L6B$I;".;IST6

MESS!)E.INAO3L6%ecord not found6 MESS!)E.INAO5 L U(ESU

TECT L UU

&!;; A!T!;.E%%O%>MESS!)E.INAO?

E/se

)et the 0a/ue from "!TE.OA.BI%T fie/d and assign it to

(."!TE.OA.BI%T.

!ssign system date TO"!( to (.TO"!(.

&a/cu/ate (.&$ST.!)E using (."!TE.OA.BI%T and (.TO"!(

by using &"T function and assign it to (.&$ST.!)E

%ead the tab/e O2B&.S(.&OMMON.'!%!M with id as

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I".&OM'!N( and get the 0a/ue from :&.!)E and assign it to(.:&.!)E.

Aetch the 0a/ue of BI%T.IN&O%'."!TE and assign it to

(.BI%T.IN&O%'."!TE .

&a/cu/ate ;4.:&."!TE by adding (.BI%T.IN&O%'."!TE and(.:&.!)E.

If (.&$ST.!)E )E (.:&.!)E then proceed e/se %ET$%N

$pdate the /oca/ fie/d ;4.:&.&$STOME% as (ESF using

A.D%ITE function.

%eturn

End


=.; O8BC.7.9&.7C.A%%&4.A$O7/


Type N@!

!ttached To SE&.O'EN.O%"E%,O2B&.B$(.ST'

SE&.T%!"E,O2B&.IN'$T

MA.O%"E%,O2B&.SIN);E.B$(."I%E&T

MA.O%"E%.B(.&$ST,O2B&.SIN);E.B$(.SI'

MA.O%AE%.B(.&$ST,O2B&.SDIT&

MA.T%!"E,O2B&.IN'

!ttached !s Input %outine

"ependency N@!

"escription %outine to chec8 the &ustomer %is8 'rofi/e against the 'roduct %is8%ating and raise a o0erride based in the ris8 /e0e/ it fa//s.

!rguments H IN N@!

!rguments H O$T N@!

're/im &onditions N@!

Subroutine A/ow Initia/ise necessary 0ariab/es.

If the app/ication is SE&.T%!"E, get the first mu/ti 0a/ue of the

customer no and &$ST.T%!NS.&O"E e9 B$(6 then proceed.

Aor the other app/ications get the customer no using %.NED

and assign it to (.&$STOME%.NO

%ead the customer tab/e with id as (.&$STOME%.NO and

fetch the 0a/ue from the /oca/ fie/d ;4.:&.&$STOME% and

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assign it to (.;4.:&.&$STOME%.

If (.;4.:&.&$STOME% E# (ES6 TEN

%aise a o0erride message by ca//ingO:.O2B&.:&.!""N;.O:%" by assigning (.&$STOME%.NO

to GEnd

%eturn

End

Specia/ Instructions

=.< O8BC.7.9&.$9S.$AT/


Type N@!

!ttached To SE&.O'EN.O%"E%,O2B&.B$(.ST'

SE&.T%!"E,O2B&.IN'$T

MA.O%"E%,O2B&.SIN);E.B$(."I%E&T

MA.O%"E%.B(.&$ST,O2B&.SIN);E.B$(.SI'

MA.O%AE%.B(.&$ST,O2B&.SDIT&

MA.T%!"E,O2B&.IN'

!ttached !s Input %outine

"ependency N@!

"escription %outine to chec8 the &ustomer %is8 'rofi/e against the 'roduct %is8%ating and raise a o0erride based in the ris8 /e0e/ it fa//s.

!rguments H IN N@!

!rguments H O$T N@!

're/im &onditions N@!

Subroutine A/ow Initia/ise necessary 0ariab/es.

)OS$B '%O&ESS

%ET$%N

:,OCESSCST.T,'NS.CODE? E B

)et the first mu/ti 0a/ue of (.&$STOME%.NO from%.NED>&$STOME%.NO?

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)et the 0a/ue of (.SE&.M!STE%.I" from%.NED>SE&$%IT(.&O"E?

)OS$B %IS=.;E:E;

Cae '::LIC'TION e@%al to SEC.O:EN.O,DE, 'ND,.NE>T,'NS'CTION.CODE? E B

)et the 0a/ue of (.&$STOME%.NO from%.NED>&$ST.N$MBE%?

)et the 0a/ue of (.SE&.M!STE%.I" from%.NED>SE&$%IT(.NO?

)OS$B %IS=.;E:E;

Cae '::LIC'TION e@%al to M2.O,DE, 'ND,.NE>T,'NS.T:E? E 2:, O, S:

)et the 0a/ue of (.&$STOME%.NO from%.NED>&$STOME%.I"?

)et the 0a/ue of (.SE&.M!STE%.I" from %.NED>A$N".I"?)OS$B %IS=.;E:E;

Cae '::LIC'TION e@%al to M2.T,'DE 'ND,.NE>T,'NS.T:E? E SI O, 2:, O, S: O, SI

)et the 0a/ue of (.&$STOME%.NO from%.NED>&$STOME%.I"?

)et the 0a/ue of (.SE&.M!STE%.I" from %.NED>A$N".I"?

)OS$B %IS=.;E:E;

End Cae

%ead the app/ication O2B&.%IS=.%A# with id as

(.&$STOME%.NO

Aetch the 0a/ue from the fie/d %IS=.;E:E; in O2B&.%IS=.%A#

and extract the 0a/ue after the de/imiter VF and assign it to(.&$S.%IS=.;E:E;.

%eturn

,ISK.LEVELTO"!(F,FWF,(.!)E."IAA?

If the 0a/ue of ;4.:&.&$STOME% not e9ua/ to (ES6 then

$pdate the /oca/ tab/e O2B&.:&.&$ST.;IST with id as

(.!)E."IAA and fie/d 0a/ue &$STOME%.NO as(.&$STOME%.NO.

End

%eturn

End

Specia/ Instructions

>. A++endi0

N!

1@. Accounting

N!

11. 4imits

N!

12. COB rocessing

Batch job O2B&.B.:&.&$ST.$'" has been set to run dai/y in on/ine stage. This job

wi// initia//y se/ect a// the records from customer with ;4.:&.&$STOME% NE (ES F!N" )EN"E% NE F. Then the customer record is processed in the main batchroutine in which customer6s age is ca/cu/ated . Dhen customer6s age is greater thanor e9ua/ 75 the /oca/ reference fie/d ;4.:&.&$STOME% has been set as (ESF.

1#. Assum+tions

a. Set of O0erride Message and Error Message

!// new error message and o0erride message de0e/oped /oca//y wi// be set up in theO:E%%I"E fi/e. The error message wi// be set up with T('E L E%%O%F.

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b. $ser to maintain this 'arameter fie/d for "eri0ati0es /in8ed products.

i. 're-define the /ist of Sub !sset Type I"6s that are /in8ed to "eri0ati0es products

ii. Maintain the /ist and any new inc/usion or de/etion of sub !sset types

c. Insurance products not co0ered for :& customer 0a/idations as they are not he/d withinban86s boo8s.

d. &ustomers in &ustomer Bonds TradeJ

Trading :a/idations for "eri0ati0es =now/edge and :& &ustomers are triggered based onthe assumption that the Airst customer is the Norma/ &ustomer and the Second &ustomeris Own Boo8 &ustomer >

ojbc sc06 trade validations dx and vc customer tsd v0.6

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