GO TX Risk Supervisor

Trading

GO TX Wealth Management SystemChittagong Stock Exchange Ltd

Table of ContentsGO TX Overview

Monitoring Trading Activity

Risk Planning

Monitoring Risk

Tracking and 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

Log on

Access through User ID and Password

Restricted number of attempts

Automatic session expiry

Change PasswordForce Change of Password on first time logon

Reset password to be requested in case of expiry

Monitoring Trading Activity

Logon Monitor

All those logged into GO TX

Investors

Employees

Application type

Browser logins

DWS logins

Drill down views

Office

Individuals

Logon history

Trade Monitor

Trading activity through GO TX

Investors and dealers

Drill-down from participant-level to investor-level

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

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

Risk Planning

System Risk

Global level parameters

Applicable for all investors for a participant

Parameter value can be changed after trading hours

No t all parameters are applicable for CSE

Credit Risk - Credit Maintenance

View the credit limit of an office or range of offices

Increase credit

Decrease credit

Credit Risk - Credit Audit

Lists investors with additional credit

Supervisor who granted/ decreased credit

Amount of increase/ decrease

Exchange Risk

Margin for the participant

Provided by Exchange

Parameters

Gross exposure limit

VAR limit

Trading turnover limit

Equity Group Risk

Risk parameters defined for a group of stocks

Add stock group

Set risk parameters for each group

Cannot be updated during trading hours

Investor Category Risk

Categories pre-defined in the system

Parameters defined for a category

Each investor assigned a category

Category parameters can be modified

Investor Risk

Override the risk category for an individual

Set parameters for the individual

Provide additional credit

Change an investor’s category

Dealer Risk

Mandatory for each dealer

Limits set on

Buy/Sell exposure

Gross exposure

Net exposure

Monitoring Risk

Client-wise MTMMTM updated real-time

Monitor MTM at office level and investor level

Drill down from office level to investor level

Stock-wise view per investor available

POA Increment

Increment or decrement stock for investors

Pending requests can be deleted or processed

Processing requests updates the Demat balance

Tracking and Reports

Client ViewsOrder Book

Trade Book

Positions

Margin Statement

Cash statement

Stock Statement

Payin Payout Statement

Networth

Bulk Cancellation

Cancel orders in bulk for

Investor

Dealer

Office

Select

Segment

Symbol

Side

Board

Report Types Order Report

Trades Report