Embed Size (px)
Citation preview
Page 1 of 38
MFSS Back Office
Sr No INDEX Page No
1 Login Screen 2
1.1 Home Page 3
2 Managing Member Details 5
3 Managing Clients (Client Master/ DP master) 7
3.1 Upload Client Master (File Format) 7
3.2 Upload DP Master (File Format) 11
4 Client Holdings (Holdings Master) 13
5 Starting with Back office (Batch Upload) 15
5.1 View Orders Screen 17
5.1.1 Various parameters 17
5.2 Import Various Reports 17
5.2.1 Provisional File 17
5.2.2 Final Order File 19
5.2.3 Fund Obligation File (SOBG) 20
5.2.3.1 Mark Shortages 21
5.2.3.2 Generate Shortage (COBG)File 22
5.2.4 Shortage Return file (CROBG ) 23
5.2.5 Allotment Success/Rejection report 24
5.2.6 DLVR Report 25
5.2.7 DFDS Report 26
5.2.8 Redemption Success/ Rejection report 26
5.2.9 Funds Report 27
6 View orders 28
6.1 Generate Dump 28
6.2 Confirmation Note 28
6.3 Email facility 29
6.4 Generate Payout File 31
7 Bills Management 32
7.1 Generate Bills 32
7.2 Download Bills 32
Page 2 of 38
1. Login Screen
After first login try change password prompt will appear:
Page 3 of 38
After successful login system will display the home page which is a scheme watch See below screen.
1.1 Home Page
After login user can view Back Office menu as per Screen
Page 4 of 38
Page 5 of 38
2. Managing Member Details
Member can input the below details under this option such as:
• ARN NO
• Sebi Registration No
• CMBP id
• Email (Regd Email Address)
• Brokerage Template – Helps to set brokerage percent
• Tel No
• Fax No
All these details required to be captured while generating the confirmation note / Payout file etc.
Also Member needs to save some more details in the tab provided as List Brokerage.
Page 6 of 38
Member can input the below details under this option such as:
• Template Name
o Different templets can be set by member eg default or specific and the same can
be mapped client wise
• Subscription Brokerage %
• Redemption Brokerage %
Page 7 of 38
3. Managing Clients
3.1. Upload Client Master Format:
The file shall be in comma separated format. User can prepare and upload the client details file even
when market is not open.
The account number should be unique. It can be alphanumeric only i.e. no special characters are
allowed.
Upload Clients A bulk upload facility is also available to the user to set multiple client codes at the same time.
The user need to browse the file saved in local drive by pressing […]. The client records from the
selected file can be uploaded by pressing [Upload]
The structure of the client master file should be as given below:
Sl Field Datatype Size Field Description Sample record
1 Client Code Char 10 Client Id A101
2 Client Name Char 70 Client name ABCD
Blank (In case of
corporate & HUF) M
M - Male
3 Gender Char 1
F - Female
1 - Business 1
2 - Services
3 - Professional
4 - Agriculture
5 - Retired
6 - Housewife
7 - Student
4 Occupation Code Num 2
8 - Others
1 - Individual 1
2 - On behalf of
minor
3 – HUF
4 – Corporate
5 Tax Status Num 2
5 - NRI
Page 8 of 38
6 PAN Number Char 10 PAN number AEDPN2044Q
Y - Yes Y 7 KYC Compliant Char 1
N - No
8 Address Line 1 Char 40 Client Address 1 A
9 Address Line 2 Char 40 Client Address 2 B
10 Address Line 3 Char 40 Client Address 3 C
11 City Char 35 City D
AN - Andaman &
Nicobar AN
AR - Arunachal
Pradesh
AP - Andhra Pradesh
AS - Assam
BH - Bihar
CH - Chandigarh
CG - Chattisgarh
DL - Delhi
GO - GOA
GU - Gujrat
HA - Haryana
HP - Himachal
Pradesh
JM - Jammu &
Kashmir
JK - Jharkhand
KA - Karnataka
KE - Kerala
MP - Madhya
Pradesh
MA - Maharashatra
MN - Manipur
ME - Meghalaya
MI - Mizoram
NA - Nagaland
ND - New Delhi
OR - Orissa
PO - Pondicherry
PU - Punjab
RA - Rajasthan
12 State Char 2
SI - Sikkim
Page 9 of 38
TN - Tamil nadu
TR - Tripura
UP - Uttar Pradesh
UC - Uttranchal
WB - West Bengal
13 Pin Code Num 6 Pin code 400602
14 Office Phone No. Num 8 Office phone no
12345678
15 Residence Phone
No.
Num 8 Residence phone no.
12345678
16 Mobile No. Num 10 Mobile no. 9999999999
17 Email ID Char 50 Email ID [email protected]
18 Bank Name Char 40 Bank Name HDFC BANK
19 Bank Branch Char 40 Bank Branch MUM
20 Bank City Char 35 Bank City MUM
21 Account No. Char 40 Bank account number 159263487
1 - Cheque 1
2 - Direct credit
3 - ECS
4 - NEFT
22 Preferred Div /
Redemption
Payment
Mechanism
Num 1
5 - RTGS
Code commensurate
to the preferred
dividend/ redemption
payment mechanism
23 MICR/NEFT/RTGS
Code
Num/Char/Char 11
Not applicable for
cheque and direct
credit
24 Date Of Birth DD/MM/YYYY 10 Date of Birth -
Mandatory if tax
status is 'On behalf of
minor'
25 Guardian Name Char 35 Guardian Name -
Applicable if tax
status is 'On behalf of
minor'
26 Guardian PAN No. Char 10 Guardian PAN
number - Applicable
if tax status is 'On
behalf of minor'
27 Nominee Name Char 40 Nominee Name
Page 10 of 38
28 Nominee Relation Char 40 Nominee Ralation
SB - Saving Bank SB 29 Bank Account Type Char 10
CB - Current Bank
P - Physical E 30 Statement
Communication
Mode
Char 1
E - Electronic
The response file would be generated in the same path of input file. The status of the upload is
appended at the end of each record i.e. if the record upload is failed, the error message would be
made available in the response file.
Client Master is designed to maintain Client detail, which user needs to submit to the exchange and
all clients related detail maintenance should be centralized.
Client master Screen:
Page 11 of 38
Note : - Brokerage template can be mapped client wise
3.2 Upload DP Master Format
The DP master upload format;
Sl Field Data type Size Field Description
1 Client code Char 10 Client Id
2 Depository Code Char 8 NSDL/CDSL
3 DP ID Char 8 Depository Participant ID in case of NSDL and Blank in case of CDSL
4 Beneficiary ID Num/Char 8 Beneficiary Id of the client
Page 12 of 38
Mode of holding:
SI - Single
JO - Joint
5 Mode of Holding Char 2
AS - Anyone / Surviour
6 First Client Name Char 70 Client Name
7 First Client Pan Number Char 10 PAN number of the first holder
1 - Individual
2 - On behalf of minor
3 - HUF
4 - Corporate
8 Tax Status Num 2
5 - NRI
1 - Business
2 - Services
3 - Professional
4 - Aggriculture
5 - Retired
6 - Housewife
7 - Student
9 Occupation Code Num 2
8 - Others
10 Date Of Birth DD/MM/YYYY 10 Date of Birth - Mandatory if tax status is 'On behalf of minor'
11 Guardian Name Char 35 Guardian Name - Applicable if tax status is 'On behalf of minor'
12 Guardian PAN No. Char 10 Guardian PAN number - Applicable if tax status is 'On behalf of minor'
13 Second Client Name Char 70 Client Name
14 Second Client Pan Number
Char 10 PAN number of the second holder
15 Third Client Name Char 70 Client Name
16 Third Client Pan Number Char 10 PAN number of the third holder
17 Branch Code Num 3 Branch code to which client has to assign
Page 13 of 38
3.3 Common DP – Client Master
Common DP – Client Master Screen
The Common DP – Client Master Format
Field Datatype Size Field Description
Client Code Char
M
10
Client Id
Client Name Char
M
70
Client name
NM
Blank (In case of corporate &
HUF)
Gender Char
1
M - Male
Page 14 of 38
F - Female
M 1 - Business
2 - Services
3 - Professional
4 - Agriculture
5 - Retired
6 - Housewife
7 - Student
Occupation Code Num
2
8 - Others
M 1 - Individual
2 - On behalf of minor
3 – HUF
4 – Corporate
Tax Status Num
2
5 - NRI
PAN Number Char
M
10
PAN number
M Y - Yes KYC Compliant Char
1
N - No
Address Line 1 Char
M
40
Client Address 1
Address Line 2 Char
NM
40
Client Address 2
Address Line 3 Char
NM
40
Client Address 3
City Char M 35 City
M AN - Andaman & Nicobar
AR - Arunachal Pradesh
AP - Andhra Pradesh
AS - Assam
BH - Bihar
CH - Chandigarh
CG - Chattisgarh
DL - Delhi
GO - GOA
GU - Gujrat
HA - Haryana
HP - Himachal Pradesh
JM - Jammu & Kashmir
State Char
2
JK - Jharkhand
Page 15 of 38
KA - Karnataka
KE - Kerala
MP - Madhya Pradesh
MA - Maharashatra
MN - Manipur
ME - Meghalaya
MI - Mizoram
NA - Nagaland
ND - New Delhi
OR - Orissa
PO - Pondicherry
PU - Punjab
RA - Rajasthan
SI - Sikkim
TN - Tamil nadu
TR - Tripura
UP - Uttar Pradesh
UC - Uttranchal
WB - West Bengal
Pin Code Num M 6 Pin code
Office Phone No. Num
NM
8
Office phone no
Residence Phone No. Num
NM
8
Residence phone no.
Mobile No. Num
NM
10
Mobile no.
Email ID Char NM 50 Email ID
Bank Name Char
M
40
Bank Name
Bank Branch Char
M
40
Bank Branch
Bank City Char
M
35
Bank City
Account No. Char
M
40
Bank account number
M 1 - Cheque
Preferred Div /
Redemption Payment
Mechanism
Num
1
2 - Direct credit
Page 16 of 38
3 - ECS
4 - NEFT
5 - RTGS
Not
applicable
for cheque
and direct
credit
Code commensurate to the
preferred dividend/ redemption
payment mechanism
ECS - MICR
Mandatory
MICR/NEFT/RTGS
Code
Num/Char/Char
NEFT /
RTGS -
NEFT/RTGS
Code
Mandatory
11
Date Of Birth DD/MM/YYYY Mandatory if
tax status is
'On behalf of
minor'
10
Date of Birth - Mandatory if tax
status is 'On behalf of minor'
Guardian Name Char Applicable if
tax status is
'On behalf of
minor'
35
Guardian Name - Applicable if
tax status is 'On behalf of minor'
Guardian PAN No. Char Applicable if
tax status is
'On behalf of
minor'
10
Guardian PAN number -
Applicable if tax status is 'On
behalf of minor'
Nominee Name Char
NM
40
Nominee Name
Nominee Relation Char
NM
40
Nominee Ralation
M SB - Saving Bank Bank Account Type Char
10
CB - Current Bank
M P - Physical
Statement
Communication Mode
Char
1
E - Electronic
Depository Code Char M
8 NSDL/CDSL
DP ID Char
M
8 Depository Participant ID in case
of NSDL and Blank in case of
CDSL
Beneficiary ID Num/Char M 8 Beneficiary Id of the client
2 Mode of holding:
SI - Single
Mode of Holding Char M
JO - Joint
Page 17 of 38
AS - Anyone / Surviour
First Client Name Char M 70 Client Name
First Client Pan Number Char M 10 PAN number of the first holder
Second Client Name Char Applicable if
mode of
holding is
joint
70
Client Name
Second Client Pan
Number
Char Applicable if
mode of
holding is
joint
10
PAN number of the second
holder
Third Client Name Char Applicable if
mode of
holding is
Either or
survivor
70
Client Name
Third Client Pan Number Char Applicable if
mode of
holding is
Either or
survivor
10
PAN number of the third holder
Branch no Char
M
3 branch to which client will be
allocated
4. Client Holdings Upload:
This facility is being given to the member to maintain client holdings.
The file shall be in comma separated format. User can prepare and upload the client details file even
when market is not open.
Upload Holdings:
A bulk upload facility is also available to the uses.
The user need to browse the file saved in local drive by pressing […]. The holding records rom the
selected file can be uploaded by pressing [Upload]
The structure of the file should be as given below:
Sl Field Datatype Size Field
Description
1 Client Code Char 10 Client Id
Page 18 of 38
2 DP ID Char 8 Depository id
3 Beneficiary ID Num 8 Benificiary id
4 PAN Number 1st
holder
Char 10
8 ISIN Char 12
9 Units Num 999999999999.99
*****
All fields are
mandatory
The holdings Screen:
Page 19 of 38
The statement will look like:
One has to input the DP (NSDL/CDSL), DP id & Beneficiary id of the client to download the
holding statement.
5. Starting with Back office (Batch Upload)
To start with actual back office process one has to upload the relevant file and check whether the
records are appearing in Back Office properly..
Steps to be followed:
Step 1: Select batch upload:
Page 20 of 38
Step 2: Select a file type needs to upload
Step 3: The uploaded file can be checked as below.
Page 21 of 38
Step 4: After upload the orders will be displayed in the view orders screen
5.1. View Orders Screen
1. All the orders details along with settlement type. Settlement no & settlement Date will be
displayed in the view orders screen.
2. Also the order status will be updated as and when the file gets uploaded in the back office.
3. User can take a dump (Download) of the orders screen also.
4. Various featured given as:
a. Generating the Dump
b. Generating the Confirmation Note (Contract Note)
c. Emailing the same (Email Option)
d. Transfer Payout File
e. Cancel/ Deletion Option
f. Search Option
5.1.1. Various parameters are given on the screen such as
• Settlement Type
• Settlement no
• Order No
• From & To date
• Client code
• Confirmation Flag etc.
5.2. Import Various Reports:
5.2.1. Provisional File
This will be an optional process. Members would upload provisional order report provided by
the exchange.
Processing : Upon upload following additional fields would be set on each order record.
Page 22 of 38
• Order Status = Provisional
• Settlement Type
• Settlement No
After upload of provisional file the orders can be viewed in view order screen.
This report is non mandatory for upload in Back Office.
Order Deletion
This control is used Delete the Order files if wrong data imported or any other changes required
in Orders.
1. First select the order no which is required to be deleted. See screen
Page 23 of 38
\
2. Then Click on cancel button to delete the particular order. One pop up will appear to confirm
the action of deletion.
3. Click on ‘ok’ and the order gets deleted.
5.2.2. Final Order File
Processing: This will be a Mandatory process. Members would upload Final order report
provided by the exchange.
Upon upload following additional fields would be set on each order record.
• Order Status = Final
• Settlement Type
• Settlement No
• If any rejection then the rejection reason will get updated.
In case a provisional order image is not uploaded the process will upload the final image without
raising any warnings.
The provisional image will be completely overwritten by the final image & if any mismatch
between provisional & final order the warning will error will appear for that record while
uploading the file.
Page 24 of 38
5.2.3. Fund Obligation File (SOBG)
Processing: Members would upload order wise funds obligation for subscription orders. Upon
upload following additional fields would be set on each order record.
o Funds obligation = Funds obligation as in the file
In case funds obligation for a given order number is other than the actual order amount then a
error will occur at the time of uploading the obligation file for that particular record. Please
check below attached screen
Page 25 of 38
Error reason: Fund Obligation Amount mismatch with final order amount.
5.2.3.1.Shortage File
Mark Shortages in the Fund Obligation view Description : Member will be given a list of subscription orders for whom Funds obligation
has been uploaded.
• An option will be provided for the member to select multiple orders and mark them as
shortages.
• An option will also be provided for the member to select multiple orders and revoke the
shortage markings. The revoke option can be executed only if the shortages have not been
exported.
Page 26 of 38
5.2.3.2. Generate Shortage File (COBG)
A record for which the shortage is marked, shortage (COBG) file can be generated for the
same by selecting an option generate Shortage File.
Page 27 of 38
Following additional filters will be provided
o Client Code
o Settlement Type & Settlement No
o Order Date
5.2.4. Shortage Return file (CROBG)
Return files for Participants will be generated with status of records as accepted / rejected
and reason for rejection.
This file can be uploaded in back Office in the given option and the status will be updated in
View orders as well as fund Obligation screen against the particular record.
Page 28 of 38
5.2.5. Allotment Success/Rejection report
The exchange would provide subscription order wise quantity allotted, NAV and amount
allocated. Member will upload the allotment report
For each subscription order following fields will be updated (in View orders Screen)
• Allotted Quantity
Page 29 of 38
• Allotted Amount
• Allotted NAV
And Allotment rejection report will update the reason of rejection in view orders screen
against that particular record.
Page 30 of 38
5.2.6. DLVR Report
The exchange provides settlement type and number wise quantity receivables for each
subscription order.
For each subscription order DLVR Quantity receivable field will be updated in view orders
screen.
This report can be used for reconciliation purpose. As this report can be checked against the
qty updated by allotment success report.
Page 31 of 38
5.2.7. DFDS Report : Redemption Orders – Upload Demat Final Delivery Statement
Exchange will give a DFDS statement containing redemption order wise quantities delivered
by clients to NSCCL
For each redemption order following Delivered Quantity field will be updated
This report can be used for reconciliation for redemption orders as DFDS (QTY) to be
checked with the actual order quantity.
5.2.8. Redemption Success/Rejection report:
Exchange will give a redemption order wise redemption status details. Members will upload
this report in the back office.
For each redemption order following fields will be updated:
• Redeemed Amount
• Redeemed NAV
• Entry / Exit Load
• STT
• TDS
And for rejected redemption orders redemption rejection report will be uploaded which will
update the redemption rejection reason.
Page 32 of 38
5.2.9. Funds Report (FNDS):
Exchange will give redemption order wise funds receivable report. Members will upload this
report in the backoffice
. For each redemption order receivable amount will be updated.
Page 33 of 38
6. View Orders screen:
6.1. Generate the dump.
After upload of all the orders User can generate and download the dump of all the orders.
After from & to date selection User can see the orders for particular day. Or else User can select
the view parameterized.
6.2. Confirmation note.
User can generate the confirmation note for the order placed.
It will give a prompt to select the order.
After selecting the order as shown in the below screen User can click on conf note to generate
the same.
Page 34 of 38
6.3. Email facility: If Member wishes to avail the email facility he should have the email for his client save d in the
DP/Client master.
Also in the list details screen member should enter his own email address so that he will get a
copy of mail on the mentioned id.
After clicking on email option user will a prompt to select email type.
Page 35 of 38
After this a msg box will appear saying email has been sent.
The email will look like
Page 36 of 38
• In to option client email address will appear
• In cc option member email address will appear
• An email will be received from MFSS [email protected].
• Subject line would be ‘Ord. Conf. Note for order no dated dd-mm-yyyy.’
6.4. Generate Payout File:
Member requires a file format for normal pay in of units to transfer the units lying in the pool
account to the final beneficiary account.
One has to input internal reference number & execution date before generating the payout file.
A prompt will appear to generate the payout file to select the transactions. (Only subscription
transactions.)
A file will be generated and prompt will appear to save or open the file.
Page 37 of 38
7. Bill Management
7.1. Generate Bills
Back Office also has a facility to generate the bills clientwise. Settlement no wise.
• Once entered above information click on generate Bill.
• Then Search a bill
7.2. Download a bill
To download a bill user has to input a bill no or settlement no or client code and once can
download a bill
User can ever regenerate the bill also
A Bill will look like this.
Page 38 of 38
Same like confirmation note a bill also can be emailed to the client.
• In to option client email address will appear
• In cc option member email address will appear
• An email will be received from MFSS [email protected].
• Subject line would be ‘Bill for Bill No Billxxxxxxx dated dd-mm-yyyy.’
