Sosialisasi Pengembangan Sistem Pengelolaan Investasi Terpadu. Persiapan Back Office & Infrastruktur IT

Sosialisasi

Pengembangan Sistem

Pengelolaan Investasi Terpadu

Persiapan Back Office

& Infrastruktur IT

Agenda

• Latar Belakang dan Tujuan

• Project Overview, Scope & Timeline

• Aplikasi

– NFS Modules

– Identifikasi Pengembangan Back Office

• Infrastruktur IT

– Konfigurasi & Perangkat Jaringan

– H/W Specification

– Perangkat OTP

– Estimasi biaya

Latar Belakang

dan Tujuan

Latar Belakang

• Kondisi Pasar Reksadana saat ini :

• Tidak ada standarisasi dalam pengelolaan dan pengadminstrasian Reksadana

• Proses manual yang tidak efisien dengan menggunakan kertas, fax, email sebagai

wahana komunikasi utama

• Tidak ada informasi kepemilikan investor yang terkonsolidasi

• Kebutuhan adanya sistem yang mengintegrasikan seluruh proses bisnis reksadana yang

otomatis, efisien dan terpadu.

Tujuan

•

Electronic distribution channel: meningkatkan efisiensi aktifitas operasional

•

Centralized registry center: penggunaan SID untuk identitas investor Reksa Dana

•

Data integrator: integrasi data dari agen penjual, Manajer Investasi, Bank Kustodian,

Perusahaan Efek

SA

IM

Broker

(SC/Bank)

CB

Investors

Order Routing RD

 Subscription

 Redemption

 Switching

• Securities purchase/sale transaction for Fund’s portfolio

• Time Deposit placement in Banks

Bank

Regulator

1

2

2

3

4

5

6

Current Condition

SA

SA

IM

IM

In

ves

tor

CB

Bank

_BR

NFS

SA

CB

Bank

IM

In

ves

tor

BR

Project Overview

Business Consultancy : Nov 2014 – May 2015

System Development : Jun 2015 – Aug 2016

Project

Title

Participant

Driven

Based on

Fund-Net

Cooperative

Development

Project

Period

Project

Objective

Project

Approach

New Fund System (NFS) Development Project

To make Indonesia Fund Market industry more

efficient by providing an integrated and centralised

New Fund System

Institusi / Pihak Terkait

OJK

KSD

KSEI

SA

IM

CB

BR

Securities Company Association

Custodian Bank Association

Investment Manager Association

Project Organisation Structure

Working Group

Steering Committee

OJK

KSEI

Legal Unit

OJK

KSEI

Associations

Business Unit

OJK

KSEI

Associations

Operational Unit

OJK

KSEI

Associations

Technical Unit

OJK

KSEI

Associations

Project Director

OJK

KSEI

Project Manager

KSEI

Business Consultant &

SysDev : KSD

PM

Teams (TF, KCP, ITA)

Audit & Risk Management

KSEI

Support Unit

KSEI

Project Administrator

KSEI

Vice Project Manager

KSEI

Tes

tin

g

Prepa

ra

tio

n

Mi

gration

Project Time Line

MOU with

KSD

Rules / Regulation

( OJK , KSEI )

Member’s Back Office Enhancement

BRS

(Business Requirement

Specification)

Working

Group

(OJK,

Association,

KSEI)

RMR

OJK approval

2014

₂₀₁₆

Socialization

Business

Nov

Apr

Aug

7 months

Dec

5 months

5 months

Design Study

- SRS

- SyRS

Jun

G

o

Li

ve

4 months

Contract

KSEI-KSD

H/W , S/W

Procurement & Installation

Oct

SRS : Software Requirement Specification

SyRS : System Requirement Specification

System

Development

May

Mar

Socialization

IT

Signing

5

th

_June

2015

Jun

Nov

Tr

ain

ing

U

A

T

Jul

Aug

Feb

Static Data

Membership /

Role

• Selling Agent

• Investment

Manager

• Custodian

Bank

• Broker

Fund /

Securities

• Conventional

Fund *

• Private Equity

Fund

• ETF

Accounts

• Fund Unit

Account

• Investor Fund

Unit Account

• Fund Cash

Account

• KSEI cash

Account

Parameters

• Currency

• Calendar

• Mid-rate

• Settlement

window

*) Conventional Fund : Reksadana Pasar Uang, Reksadana Saham,

Reksadana Pendapatan Tetap, Reksadana Campuran, Structured Fund

(Protected Fund, Guaranteed Fund dan Index Fund)

Member Role

• Pengelolaan Rekening Investor

• Menerima Instruksi Subscription, Redemption, Switching dari Investor

• Mengirimkan detail instruksi kepada partisipan terkait melalui NFS

• Memberikan approval atau rejection atas instruksi subscription, redemption, dan switching

• Memberikan informasi terkait distribution income dan likuidasi Reksa Dana kepada Partisipan

terkait melalui NFS

• input trade allocation details ke NFS

• Generate settlement instructions untuk broker dan Bank Kustodian melalui NFS

• Investment fund accounting

• Unit holder list management

• Input unit allocation dan unit balance

• input NAV

• Menerima settlement instruction dan OTC instruction melalui NFS

• Input block ETC dan/atau trade confirmation details

• Menerima settlement instruction dan OTC instruction yang dihasilkan oleh

NFS

Format Kode Reksadana:

FM001

FT

S

MFNAME

XX

Static Data : Fund Code

Kode MI

Kode Tipe Reksadana

Syariah/Konvensional

Nama Reksadana

Series

Kemungkinan diperlukan mapping antara existing Fund code dengan Fund Code baru

dengan format standard di NFS. Panjang 16 Digit alphanumeric.

Pembukaan Fund Unit Account dan

Pembentukan SID untuk Investor baru

Catatan:

•

KYC dilakukan oleh Agen Penjual

•

SID akan dihasilkan oleh sistem KSEI. SID terintegrasi dengan data nasabah pasar modal lainnya

(Data di C-BEST dan AKSes).

•

Nasabah yang sama menggunakan SID yang sama di semua Agen Penjual.

•

Penyimpanan data SID pada database Back Office Partisipan

•

Kelengkapan data dan data terkait lainnya dapat ditemukan dalam lampiran yang

disediakan dalam Flash Disk yang disediakan dalam sosialisasi ini

.

1.

Pendaftaran

3. Pengiriman

_Data

5. Generate atau

crosslink SID

7. Unik SID

8. Unik SID

4. Pengiriman

Data

6. Unik SID

2. KYC dan input/upload

1

2

3

4

5

6

7

8

9

10 11 12 13

14 15

Tgl. & Bln. :

Tanggal dan Bulan lahir

Tanggal dan Bulan Pendirian

Format : DDMM

Status Investor :

D : Domestic,

F : Foreign.

Random Digit

(6 digit)

(Alphanumerik)

Trading ID

Check Digit

Format

SID

Tipe Investor :

ID: Nasabah Perorangan,

SC: Perusahaan Efek,

MF: Mutual Fund,

PF: Pension Fund,

CP: Corporate,

IB: Institution Bank,

IS: Insurance,

FD: Foundation,

OT: Others.

(Mengikuti tipe investor yang diterapkan

oleh BI).

Ada di bagian depan kartu

Ada di bagian

Format Kode Account :

SA001

ABC123

F01

XX

Static Data :

Rekening Investasi dan Kode Efek

Kode Agen Penjual

Internal Client Code

(Alphanumeric)

Account Type

Check Digit

Account Type :

F01  Unit Position (owned by Investor)

F02  Cash Position (owned by CB under Fund Name)

F03  Total Unit (Nostro account owned by MF)

F04  Total Cash (Nostro account owned by KSEI)

Client Code bisa diisi/ditentukan oleh SA, atau dapat dikosongkan sehingga NFS yang

akan men-generate secara otomatis.

Struktur Rekening

•

Investor memiliki SID

•

Manajer investasi dan Bank Kustodian dapat memonitor kepemilikan investor atas

Reksa Dana di bawah pengelolaan semua agen penjual.

•

Agen Penjual hanya dapat melihat kepemilikan investor atas Reksa Dana di bawah

pengelolaannya.

Modul dan Fungsi di NFS

Order Routing

• Subscription

• Redemption

• Switching

• Distributed Income

• Fund Liquidation

Post Trade

Processing

• Trade Details

• Trade Allocation

• Trade Matching

Process

• Settlement

Instruction

• OTC instruction

creation for

settlement in C-BEST

Reporting

• Delivery of reports

to be sent to

Regulator

• Delivery of NAV Data

and reporting to

Media

Functionality & Features

Selling Agent

Main Menu

Function

Input (GUI)

Upload

Download

Unit Transactions

SUBS/REDM/SWTC Order

√

√

√

Distributed Income

√

√

√

Liquidation

-

-

√

Subscription Money Transfer

-

-

√

Unit Allocation

-

-

√

Unit Balance

-

-

√

NAV

-

-

√

Cut-off Time Management

√

-

√

Asset Transactions

Equity

-

-

-Fixed Income

-

-

-Time Deposit

-

-

-Late Settlement Instruction &

Summary Daily Transaction

-

-

-Reporting

ARIA report

√

√

√

e-Monitoring report

-

-

-Fund Fact Sheet Report

-

-

√

Media Report

-

-

-Static Management

Participant Management

√

-

√

Fund Data Management

-

-

√

KYC Management

√

√

√

Account Management

√

√

√

Securities Data Management

-

-

-Mid-rate Management

-

-

√

Business Support

Pending Process Inquiry

√

User Management

Group Management

√

-

-User Management

√

-

-OTP Management

-

-

-Statistics

-

-

-System Management

-

-

-NFS Browser

-

-

√

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Functionality & Features

Investment

Manager

Main Menu

Function

Input (GUI)

Upload

Download

Unit Transactions

SUBS/REDM/SWTC Order

√

√

√

Distributed Income

√

√

√

Liquidation

√

√

√

Subscription Money Transfer

-

-

√

Unit Allocation

-

-

√

Unit Balance

-

-

√

NAV

-

-

√

Cut-off Time Management

-

-

√

Asset Transactions

Equity

√

√

√

Fixed Income

√

√

√

Time Deposit

√

√

√

Late Settlement Instruction &

Summary Daily Transaction

√

-

√

Reporting

ARIA report

√

√

√

e-Monitoring report

√

√

√

Fund Fact Sheet Report

-

√

√

Media Report

-

-

-Static Management

Participant Management

√

-

√

Fund Data Management

√

-

√

KYC Management

-

-

-Account Management

-

-

-Securities Data Management

-

-

√

Mid-rate Management

-

-

√

Business Support

Pending Process Inquiry

√

User Management

Group Management

√

-

-User Management

√

-

-OTP Management

-

-

-Statistics

-

-

-System Management

-

-

-Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Functionality & Features

Custodian Bank

Main Menu

Function

Input (GUI)

Upload

Download

Unit Transactions

SUBS/REDM/SWTC Order

√

-

√

Distributed Income

√

√

√

Liquidation

√

-

√

Subscription Money Transfer

√

-

√

Unit Allocation

√

√

√

Unit Balance

√

√

√

NAV

√

√

√

Cut-off Time Management

-

-

√

Asset Transactions

Equity

√

√

√

Fixed Income

√

√

√

Time Deposit

√

-

√

Late Settlement Instruction &

Summary Daily Transaction

√

-

√

Reporting

ARIA report

√

√

√

e-Monitoring report

√

√

√

Fund Fact Sheet Report

-

-

-Media Report

-

√

√

Static Management

Participant Management

√

-

√

Fund Data Management

√

√

√

KYC Management

-

-

√

Account Management

-

-

√

Securities Data Management

-

-

√

Mid-rate Management

-

-

√

Business Support

Pending Process Inquiry

-

-

√

User Management

Group Management

√

-

-User Management

√

-

-OTP Management

-

-

-Statistics

-

-

-System Management

-

-

-NFS Browser

-

-

√

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Functionality & Features

Broker

Main Menu

Function

Input (GUI)

Upload

Download

Unit Transactions

SUBS/REDM/SWTC Order

-

-

-Distributed Income

-

-

-Liquidation

-

-

-Subscription Money Transfer

-

-

-Unit Allocation

-

-

-Unit Balance

-

-

-NAV

-

-

-Cut-off Time Management

-

-

-Asset Transactions

Equity

√

√

√

Fixed Income

√

√

√

Time Deposit

-

-

-Late Settlement Instruction &

Summary Daily Transaction

-

-

√

Reporting

ARIA report

-

-

-e-Monitoring report

-

-

-Fund Fact Sheet Report

-

-

-Media Report

-

-

-Static Management

Participant Management

√

-

√

Fund Data Management

-

-

√

KYC Management

-

-

-Account Management

-

-

-Securities Data Management

-

-

√

Mid-rate Management

-

-

√

Business Support

Pending Process Inquiry

-

-

√

User Management

Group Management

√

-

-User Management

√

-

-OTP Management

-

-

-Statistics

-

-

-System Management

-

-

-NFS Browser

-

-

√

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Standarisasi di NFS dan

Kebutuhan Mapping di Back Office

• Selain standarisasi format instruksi, file upload dan download,

NFS juga akan menggunakan standar kode sbb :

– Fund Code

– Fund Unit Account (Investor level)

– SID

– Data-data terkait KYC

• Partisipan lakukan mapping antara sistem internal back office

dengan standar kode di NFS, sesuai kebutuhan masing-masing

Partisipan.

Mekanisme Upload

• NFS menyediakan fasilitas input by screen (GUI) dan beberapa

function disediakan fasilitas upload

• Format file data upload : csv (,) , txt (;)

• Upload instruksi dilakukan melalui screen NFS. Tidak

menggunakan aplikasi khusus lain.

• NFS akan melakukan validasi data upload

• Error message juga ditampilkan dalam screen NFS

• Detail Format data upload setiap jenis instruksi dan screen design

disediakan dalam flashdisk.

Inquiry dan Report

(Data Download)

• NFS menyediakan layar inquiry untuk semua modul / function

• Tampilan data inquiries dalam tabel yang dapat diubah

urutannya dengan menggunakan header tabel.

• Untuk setiap layar inquiries tsb, NFS menyediakan fasilitas

download to file :

– xls, dengan tampilan persis seperti yang ditampilkan di layar.

– csv(,) atau txt(;) untuk dipakai dalam proses selanjutnya di back office.

• File download dari inquiries bisa digunakan untuk kebutuhan

internal back office Partisipan

Reporting ke OJK dan Media

• NFS menyediakan fasilitas upload data laporan baik

untuk OJK maupun kepada Media (NAV)

• Pelaporan ke OJK meliputi :

– Pelaporan e-Monitoring

– Pelaporan ARIA (sebagai back up dari pelaporan langsung

dari Partisipan ke ARIA). Kewajiban pelaporan ke ARIA

diatur oleh OJK

– Format pelaporan ke OJK tidak mengalami perubahan

• Laporan hasil upload juga ditampilkan di layar NFS

• Format data upload laporan ke OJK maupun ke Media (NAV) disediakan

dalam flash disk

Identifikasi Kebutuhan

Pengembangan Back Office

Penyesuaian Database

Back Office

Penerapan Standarisasi

• Fund Code

• Fund Unit Account (Investor level)

• SID

Kebutuhan

Pengembangan

Interface

NFS - Back Office

CUSTODIAN BANKS

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Custodian Banks

Modul-modul penyampaian data/instruksi report dari CB ke NFS

Unit Transactions

(Order Routing Module)

Unit Allocation

Unit Balance

NAV

Subscription Money Transfer

Asset Transactions

(PTP Module)

OTC additional data for Equity Trx

OTC additional data for Fixed Inc Trx

Reporting

ARIA report

e-Monitoring report

Media report

Modul-modul pemrosesan data/instruksi report dari NFS ke CB

Unit Transactions

(Order Routing Module)

KYC Management

Account Management

SUBS/REDM/SWTC Order in Detail from SA

SUBS/REDM/SWTC Order in Bulk from IM

Asset Transactions

(PTP Module)

Equity Settlement Instruction

Fixed Income Settlement Instruction

Time Deposit Settlement Instruction

Kebutuhan

Pengembangan

Interface

NFS - Back Office

INVESTMENT MANAGERS

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Investment Managers

Modul-modul penyampaian data/instruksi report dari IM ke NFS

Unit Transactions

(Order Routing Module)

SUBS/REDM/SWTC Order in Bulk to CB

Asset Transactions

(PTP Module)

Equity Trx Settlement Instruction

Fixed Income Trx Settlement Instruction

Time Deposit Settlement Instruction

Modul-modul pemrosesan data/instruksi report dari NFS ke IM

Unit Transactions

(Order Routing Module)

SUBS/REDM/SWTC Order in Bulk from SA

Asset Transactions

(PTP Module)

Equity Trx Confirmation

Kebutuhan

Pengembangan

Interface

NFS - Back Office

SELLING AGENTS

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Selling Agents

Modul-modul penyampaian data/instruksi report dari SA ke NFS

Unit Transactions

(Order Routing Module)

SUBS/REDM/SWTC Order in Details to CB

SUBS/REDM/SWTC Order in Bulk to IM

Subscription Money Transfer

Reporting

ARIA report

Static Management

KYC Management

Account Management

Modul-modul pemrosesan data/instruksi report dari NFS ke SA

Unit Transactions

(Order Routing Module)

Unit Allocation

Unit Balance

Kebutuhan

Pengembangan

Interface

NFS - Back Office

BROKERS

Kemungkinan perlu dilakukan

Pengembangan Back office bagi

yang sudah melakukan secara

Otomatis (upload/download)

Brokers

Modul-modul penyampaian data/instruksi report dari BR ke NFS

Asset Transactions

(PTP Module)

Trx Details for Equity Trx

Trx Confirmation for Equity Trx

Trx Details for Fixed Income Trx

Trx Confirmation for Fixed Income Trx

Modul-modul pemrosesan data/instruksi report dari NFS ke BR

Asset Transactions

(PTP Module)

Trx Allocations for Equity Trx

Network Configuration

JTPM

Custodian Banks

Custodian Banks who can act as SA

Brokers

Brokers who can act as SA

VPN

Investment Managers

Selling Agents

Spesifikasi Perangkat Jaringan

• Komunikasi melalui JTPM – dual link

Router Cisco seri minimum 2800 (Mandatory)

Switch Cisco seri minimum 3750 (Optional)

Fiber Driver Cisco 2 link (Optional)

Firewall (optional)

• Komunikasi melalui VPN

Menggunakan software VPN Client (Cisco)

Firewall (optional)

• Windows 7 32 bit/64 bit (

English

- North

America) or latest Windows

OS

• minimum Dual-core

2.4

GHz

CPU

• minimum 4 GB Min.

Memory

• HDD minimum 2 GB Min.

• USB port/CD-ROM enabled to transport installer.

Storage

• Version 4.5 previously installed

.Net Framework

• Windows Administrator for initial installation

• Standard user or above after the installation

User Privilege

• 1024 x 768 Min. (1280 x 1024 recommended)

Screen Resolution

• No anti-malware S/W shall block the network traffic from

NFS, nor filter the extensions of the files provided by NFS

• No proxy

Security S/W

Konfigurasi Keamanan Sisi Client

• Firewall allow access

 Port 80 (HTTP) and 443 (HTTPS)

• IPS/IDS allow access

 /webservices/* (URL Pattern)

 *.jsp, *.gif, *.jpg, *.js, *.css, *.html (File Extention Standard web)

 *.exe, *.msi (File Extention Windows standard installation)

 *.deploy, *.dll.deploy, *.xml.deploy, *.manifest, *.application

 *.zip

 *.pdf, *.xls (NFS business requirements)

• Proxy Server

 Disable caching for NFS IP address, or deactivate proxy server

Reason: NFS screen update will fail if NFS Client doesn’t detect new version

of the screen

Login Flow

End Users

Deployment Website

Setup Manager

Login + Notice

New PIN Popup

Role Selection

Temporary PIN

Qualified

Single Role

Multiple Roles

LOGIN

SUCCESS

LOGIN

FAILURE

Suspended ID

or wrong info.

Splash

OTP Distribution

Admin

(Participant)

OTP Server

Additional

Users

①

Visit KSEI to register

and receive OTP tokens:

Admin(1) + Initial Users(2-4)

※ Receive additional

OTP tokens by courier

or visiting KSEI Site,

depending on KSEI’s

policy

NFS

KSEI

③

Admin manages and

assigns OTP token for

each user

②

Register User/Token

Info.

Catatan:

• Token yang

disediakan oleh

KSEI sekitar 3-5 per

partisipan

Perkiraan Biaya Perangkat

Perangkat

Keterangan

Perkiraan Biaya

Network

Menggunakan JTPM

Instalasi

USD 900 per-link

Perangkat JTPM

USD 3,000 (Router)

Rp 15 juta (Switch)

USD 3,500 (Fiber Driver 2 buah)

Biaya bandwidth 10MBps

Rp 10 juta/bulan (dual-link)

Menggunakan VPN

Koneksi internet minimal bandwidth

2mbps. Pilihan provider dan pengadaan

perangkat dilakukan sendiri oleh

partisipan

Ditentukan sendiri oleh partisipan

PC

Sesuai requirement PC client, jumlah PC

sesuai kebutuhan partisipan

Ditentukan sendiri oleh partisipan

Token

Alokasi dari KSEI per Partisipan: 3-5 Token

Free

Task dan Timeline Persiapan Partisipan

Aktifitas

Waktu

Identifikasi kebutuhan

Budgeting

• Distribusi Kuesioner

• Pengembalian Kuesioner

Nov 2015

1 Nov 2015

10 Nov 2015

Set-up infrastruktur Koneksi ke KSEI (JTPM / VPN)

Des 2015 – Mar 2016

Enhancement Back Office sesuai identifikasi kebutuhan tiap

partisipan

Nov/Des 2015 –

Mei 2016

Pengujian Aplikasi Internal

Feb – Mei 2016

Integration Test Bersama dengan KSEI dan Partisipan lain

Mar – Mei 2016

Task dan Timeline Persiapan Partisipan

Jul

Jun

Mei

Apr

Mar

Feb

Jan

Des

Nov

AGS

2016

Testing

UAT & Migrasi

Development

Go Live

UAT & Migrasi Data

Enhancement

Pengujian

Internal

Integration Test

Identifikasi kebutuhan

Budgeting

Set-up Infrastruktur

Current Stage of Project

Main Center

Business

Application

Core

Package

Data

Conversion

TA

Services

(by KSEI)

M7

M8

M9

M10

M11

M12

M13

M14

M15

M16

M17

Design Study (5M)

Development (4M)

Testing (3M)

Transition

(2M)

Main Phase

Requirement Define

Architecture Design,

System Verification

System Test & Tuning

Equipment Procurement,

System Install & Verficaiton

Analysis,

Design

▷ Screen design

Guide

▷ Release

▷ Test and support

Core Package Customization

12

1

2

3

4

5

6

7

8

9

10

2015

2016

DATE

Analysis, Design

Development

Testing

▷ Develop data migration

program

▷ Validate migrated data

▷ Migrate data

Coding, Unit Test

Integration Test

▷ 2

nd

_Release

▷ 1

st

_Release

Design Screen & Component

TASK

_M1

_M2

_M3

_M4

_M5

_M6

6

7

8

9

10

11

SRS

Support (3M)

SyRS

UAT

Support

TA Services

(by KSD)

Set up KSD internal

development environment

Support

Support

Maintenance

Construction Plan & Define

System Test Plan &

Test & Tuning

UAT

UAT

UAT

DR Center Test

DR Center Test

Roadmap for Next Step

M7

M8

M9

M10

M11

M12

M13

M14

M15

M16

M17

Development (4M)

Testing (3M)

Transition

_(2M)

Main Phase

12

1

2

3

4

5

6

7

8

9

10

2015

2016

DATE

Player

_M6

11

Support (3M)

KSD

KSEI

Participants

(Working Group)

Participants

(Others)

Application Program Development

& Unit Test

Error Fix

3

rd

Integrated

Test

(Scenario

Test)

_UAT

(Test with

actual transaction

data)

Up/download

& Screen Test

System Stabilization

System Operation

Actual Use of NFS

Maintenance Support

1

2

1st

Data

Migration

2nd

Data

Migration

3rd

Data

Migration

Data

Migration

6

Sample Data

Provision

7

8

Final Data

Migration

Final Data

Migration



Program development and test for the programs (including unit tests) for 9 months



Test participation of participants from 3

rd

_{integrated test (2016. 4)}

UAT Support

Test Scenario Production

3

1st

Integrated Test

2

nd

Integrated

Test

4

5

Final Data

Migration

Outline

1

2

3

4

• Impact analysis on the internal IT

system for use of the NFS

• Taking necessary actions (internal

system change/ development) based

on the NFS specification

• Basic data essential for unit tests

• Data provision in excel file with the

layouts requested by KSD

• Participation for 3

rd

_{Integrated test,}

UAT

• Registration of users and Ready for

the test

• Actual transaction data for scenario

test and UAT

• Compliance with data format

suitable for the NFS

Survey Submission

Softcopy

Email : Project-NFS@ksei.co.id

Due

: 10 Nov 2015 12.00PM

Hardcopy

PT KSEI Office

Due

: 10 Nov 2015

Survey Form is also available for downloads @KSEI Website

(KSEI.CO.ID)

Lampiran

Contoh-contoh Layar NFS

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

No. Transaction Date

Transaction Type

Investor Fund Unit A/C No.

Investor Fund Unit

A/C Name SID Fund Code Fund Name

IM Code IM Name CB Code CB Name Fund CCY Amount (Nominal)

1 2015-05-28 Subscription SA001000001F0101 Chandra Guna IDD311212345678 IM001MMCSCHMMF01 Schroder MMF IM001 Schroder CB001 BCA IDR 123,456.00

2 2015-05-28 Redemption SA00100GIIIF0142 Grup Salim CPD200615344412 IM002FISASHUSD02 Ashmore Dana USD Nusantara IM002 Ashmore CB006 HSBC USD

3 2015-05-28 Subscription SA001IUW014F0123 Military Fund PFF040387123712 IM012EQCREKAAA01 Reksadana AAA Strategy Fund IM012 AAA CB011 SCB USD 18,795.48

4 2015-05-28 Redemption SA001012KYIF0177 ACE ISD021165432199 IM005MXSBNPMAX03 BNP Paribas Maxi Obligasi IM005 BNP Paribas CB008 DB EUR

Unit Transactions > SUBS/REDM/SWTC Order > SUBS/REDM/SWTC Order Input

Create, Create-Direct Approve

v

Selling agents input subscription and redemption orders(standard/late) on the NFS.

Selling Agent :

SA001

BNI

Transaction Date :

Delete Row

Save

Clear

* Transaction Type * Investor Fund Unit _Account

SID *Fund

Investment Manager Custodian Bank

* Amount Fee

REDM Payment A/C Payment Date

Transfer Type SA Reference No.

Subscription/Redemption Order

Modify

Add

v

IM002

Ashmore

CB006

HSBC

USD

IM002FISASHUSD02

Ashmore Dana USD Nusantara

SA00100GIIIF0142

Grup Salim

5,478.00

3.50

Late Order

- In case of subscription/redemption

2015-05-28

CPD200615344412

Nominal

SUBS/REDM

SWTC

Subscription Redemption

Nominal

-

-N/A

AA1234-49

DB

01

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > SUBS/REDM/SWTC Order > SUBS/REDM/SWTC Order Input

Selling agents(approver) approve/reject the subscription and redemption orders inputted by selling agents(creator).

Selling Agent : Input Date :

Investment Manager : Fund :

Standard/Late : Transaction Type :

SA001

BNI

Subscription/Redemption Order

v

Approve

Clear

No. Transaction Date Transaction Type Reference No.

Investor Fund Unit A/C No.

Investor Fund Unit

A/C Name SID Fund Code Fund Name

IM Code IM Name CB Code CB Name Fund CCY

1 2015-05-27 Subscription 13 SA001000001F0101 Chandra Guna IDD311212345678 IM001MMCSCHMMF01 Schroder MMF IM001 Schroder CB001 BCA IDR

2 2015-05-27 Redemption 45 SA00100GIIIF0142 Grup Salim CPD200615344412 IM002FISASHUSD02 Ashmore Dana USD Nusantara IM002 Ashmore CB006 HSBC USD

3 2015-05-28 Subscription 97 SA001IUW014F0123 Military Fund PFF040387123712 IM012EQCREKAAA01 Reksadana AAA Strategy Fund IM012 AAA CB011 SCB USD

4 2015-05-28 Redemption 145 SA001012KYIF0177 ACE ISD021165432199 IM005MXSBNPMAX03 BNP Paribas Maxi Obligasi IM005 BNP Paribas CB008 DB EUR

Search

2015-05-28

All

- In case of subscription/redemption

Approve

v

Reject

SUBS/REDM

SWTC

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

No. Error Reason Transaction

Date

Transaction

Type SA Code

Investor Fund Unit

A/C No. Fund Code

Amount (Nominal)

Amount (Unit)

Amount (All

Units) Fee (Nominal) Fee (Unit) Fee (%)

1 2015-05-28 Subscription SA001 SA001000001F0101 IM001MMCSCHMMF01 123,456.00 1,015.00

2 Transaction Date Error 2015-05-26 Redemption SA001 SA00100GIIIF0142 IM002FISASHUSD02 5,478.35 3.5000

3 Investor Fund Unit A/C No. Error 2015-05-27 Subscription SA001 SA999IUW014F0123 IM012EQCREKAAA01 18,795.48 352.00

4 Fund Code Error; Fee Error 2015-05-27 Redemption SA001 SA001012KYIF0170 IM005MXSB 546,554.00 87,652.00 1.45

5 Amount Error 2015-05-28 Subscription SA001 SA001012KYIF0171 IM012EQCREKAAA02 Y

6 2015-05-28 Redemption SA001 SA001012KYIF0178 IM012EQCREKAAA04 Y

7 Payment Date Error 2015-05-28 Subscription SA001 SA001012KYIF0179 IM012EQCREKAAA05 1,234.00

8 2015-05-28 Redemption SA001 SA001012KYIF0180 IM012EQCREKAAA06 9,876.0000 23.0000

Unit Transactions > SUBS/REDM/SWTC Order > SUBS/REDM/SWTC Order Upload

Selling agents upload subscription and redemption orders(standard/late) on the NFS.

Subscription/Redemption Order

Save

Clear

Total Valid Invalid

8 3 5

Summary

Upload

v

Selling Agent :

SA001

BNI

SUBS/REDM

SWTC

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > SUBS/REDM/SWTC Order > SUBS/REDM/SWTC Order Approval

Investment managers approve(cancel approval)/reject the subscription and redemption orders inputted by selling agents. The orders that investment managers already approved are

Investment Manager : Input Date :

Selling Agent : Fund :

IM Status : Standard/Late : Transaction Type :

IM001

Schroder

Reject

Subscription/Redemption Order

v

Cancel Approval

Approve

Clear

No. Transaction Date Transaction Type SA Code SA

Name Fund Code Fund Name

CB Code CB Name Fund CCY Amount (Nominal) Amount (Unit) Amount (All

Units) Fee (Nominal) Fee (Unit) Fee (%) Total Approved

1 2015-05-27 Subscription SA001 BNI IM001MMCSCHMMF01 Schroder MMF CB001 BCA IDR 10,123.00 0.0000 0 111,11.00 3.3333 0.00 99

2 2015-05-28 Redemption SA001 BNI IM001MMCSCHMMF01 Schroder MMF CB001 BCA IDR 25,100.00 45.0000 10 0.00 4.4444 0.00 51

3 2015-05-28 Subscription SA003 BII IM001MMCSCHMMF01 Schroder MMF CB001 BCA IDR 15,000.00 0.0000 0 0.00 0.0000 1.00 4

No. Reference No. IM Status IM Fee Amendment IM Payment Date Amendment

Investor Fund Unit A/C No.

Investor Fund Unit

A/C Name SID

Amount (Nominal) Amount (Unit) Amount (All Units) Fee

(Nominal) Fee (Unit) Fee (%)

Payment

1 22 Pending Amended SA003000001F0101 Chandra Guna IDD311212345678 10,000.00 1.00

2 31 Pending SA00300GWUUF0142 Grup Salim CPD200615344412 3,000.00 1.00

3 46 Pending SA003IUW014F0123 Military Fund PFF040387123712 1,500.00 1.00

4 124 Pending SA003012KYIF0177 ACE ISD021165432199 500.00 1.00

v

v

v

v

v

Search

All Pending Approved

Transaction Type Total Approved Pending

Subscription 103 0 103 Redemption 51 0 51

Summary

2015-05-28

All

- In case of subscription/redemption

SUBS/REDM

SWTC

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > SUBS/REDM/SWTC Order> SUBS/REDM/SWTC Order Receipt

Custodian banks receive(cancel receipt) the subscription and redemption orders inputted by selling agents. Custodian banks cannot receive the orders that investment managers have

not approved. The orders that custodian banks already received are still displayed in this screen since custodian banks can cancel receipt for the orders.

*Display rule: (1) Status: Approved, Received, Completed

Custodian Bank : Input Date :

Selling Agent : Fund :

CB Status : Standard/Late : Transaction Type :

CB001

HSBC

Cancel Receipt

Subscription/Redemption Order

v

Receive

Clear

Transaction Type Total Received Pending

Subscription 2 0 2 Redemption 2 0 2

Summary

No. Transaction Date Transaction Type Reference No. CB Status IM Fee Amendment IM Payment Date Amendment SA Code SA Name

Investor Fund Unit A/C No.

Investor Fund Unit

A/C Name SID Fund Code Fund Name

1 2015-05-27 Subscription 13 Pending Amended SA001 BNI SA001000001F0101 Chandra Guna IDD311212345678 IM001MMCSCHMMF01 Schroder MMF

2 2015-05-27 Redemption 45 Pending SA003 BII SA00100GIIIF0142 Grup Salim CPD200615344412 IM002FISASHUSD02 Ashmore Dana USD Nusantara

3 2015-05-28 Subscription 97 Pending SA006 ANZ SA001IUW014F0123 Military Fund PFF040387123712 IM012EQCREKAAA01 Reksadana AAA Strategy Fund

4 2015-05-28 Redemption 145 Pending Amended SA007 Mandiri SA001012KYIF0177 ACE ISD021165432199 IM005MXSBNPMAX03 BNP Paribas Maxi

Search

2015-05-28

All

All Pending Received

- In case of subscription/redemption

SUBS/REDM

SWTC

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > Subscription Money Transfer > Cash Forecast

v

Based on subscription orders from SAs and processed as ‘received’ & not ‘failed’ by CBs with value T+0 and also subscription money transfer path (i.e. Inside NFS Scheme) selected, IMs,

v

v

v

No. SA Code SA Name CB Code CB Name IM Code IM Name Fund Code Fund Name Fund Cash A/C No. Fund CCY Transfer

Path Subscription Amount

1 SA001 PT BANK CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside 4,000.00

2 SA001 PT BANK CB001 HSBC IM001 Schroder SIMI1EQCAGRESS02 Schroder2 SIMI1000000F0302 IDR Inside 5,000.00

3 SA001 PT BANK CB002 DB IM001 Schroder SIMI1EQCAGRESS03 Schroder3 SIMI1000000F0303 IDR Inside 6,000.00

4 SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside 7,000.00

5 SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS02 Schroder2 SIMI1000000F0302 IDR Inside 8,000.00

6 SA003 PT STAR CB002 DB IM001 Schroder SIMI1EQCAGRESS04 Schroder4 SIMI1000000F0304 IDR Inside 9,000.00

7 SA003 PT STAR CB003 ABN IM002 PT IM PTIM1PFCAGRESS01 PTIM1 PTIM1000000F0301 IDR Inside 100.00

Total 7 Records

Participant : Value Date :

Fund : Fund CCY :

Summary Criteria : Transfer Path :

Cash Forecast Details

2015-06-15

Clear

Search

Download (Excel)

Inside NFS Outside NFS 39,100.00 CB Fund SA + Fund IM SA

-

In case selection of summary criteria is ‘SA+Fund’, and subscription money transfer path is ‘Inside NFS’

All IDR

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > Subscription Money Transfer > Cash Incoming Message Inquiry

Major details of cash incoming to KSEI A/C on BI-RGTS are displayed according to each incoming message received from the STP-BI. CB code/name, IM code/name, fund code/name,

fund CCY are displayed based on fund cash A/C no. indicated on the credit transfer by SA through BI-RTGS. SA code/name is displayed based on 1) SA’s NFS participant code indicated

on the credit transfer, if any, or 2) SA’s NFS participant code for the BI sending member code managed in the NFS. If incoming amount is recorded in KSEI Fund Suspend A/C,

v

v

v

Clear

Participant : Value Date :

Fund :

2015-06-15

Search

Print

Cash Incoming Messages

No. Message Type BI Sending Member Code Related TRN SA Code SA Name CB Code CB Name IM

Code IM Name Fund Code Fund Name Fund Cash A/C No.

Fund CCY Transfer Path CCY Incoming Amount

1 Incoming BNIAIDJA 0484774 SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside IDR 5,500.00

2 Incoming BNIAIDJA 0484775 SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside IDR 1,500.00

Total 2 Records

Download (Excel)

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Unit Transactions > Subscription Money Transfer > Cash Withdrawal/Reversal Request

v

v

Custodian Bank : Value Date :

Selling Agent : Instruction Type :

Fund : Status :

2015-06-15

All

v

Create, Create-Direct Approve

Cash Withdrawal/Reversal Request

No. BI Sending

Member Code SA Code SA Name CB Code CB Name IM Code IM Name Fund Code Fund Name Fund Cash A/C No.

Fund CCY

Transfer

Path CCY

Incoming

Amount Instruction Type Target A/C No. Target A/C Name

1 BNIAIDJA SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside IDR 5,500.00 Withdrawal HSBCSIMI01 SIMI1 SUBS

2 BNIAIDJA SA002 PT CIMB CB001 HSBC IM001 Schroder SIMI1EQCAGRESS01 Schroder1 SIMI1000000F0301 IDR Inside IDR 1,500.00 Withdrawal HSBCSIMI01 SIMI1 SUBS

Download (Excel)

Clear

7,000.00 All

Save

V V V

Search

Records for which cash incoming payment exists are displayed for a creator(CB or KSEI) to request cash withdrawal to CB’s A/C or reversal to SA’s A/C on BI-RTGS. After a user clicks a

check box, ‘Withdrawal’ is set as default on instruction type column, and CB’s target subscription A/C no. and name stored in the NFS are automatically displayed if applicable. However,

if a user changes the Instruction Type to ‘Reversal’, SA’s target subscription A/C no. and name stored in the NFS are automatically displayed if applicable. If there are more than one SA’s

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

No. Transaction Date Transaction Type Reference No. Switch-Out/In Status IM Fee

Amendment SA Code SA Name

Investor Fund Unit A/C No.

Investor Fund Unit

A/C Name SID

IM

Code IM Name Switch-Out Fund Code

1 2015-05-27 Switching 2 Out/In Received Amended SA001 BNI SA001000001F0101 Chandra Guna IDD311212345678 IM001 Schroder IM001MMCSCHMMF01 Schroder MMF

2 2015-05-27 Switching 5 Out/In Rejected SA002 BII SA00100GIIIF0142 Grup Salim CPD200615344412 IM002 Ashmore IM002FISASHUSD02 Ashmore

3 2015-05-28 Switching 21 Out/In Approved SA003 ANZ SA001IUW014F0123 Military Fund PFF040387123712 IM012 AAA IM012EQCREKAAA01 Reksadana

4 2015-05-28 Switching 25 Out/In Approved SA004 Mandiri SA001012KYIF0177 ACE ISD021165432199 IM005 BNP Paribas IM005MXSBNPMAX03 BNP Paribas Maxi

5 2015-05-27 Switching 77 Out/In Received Amended SA001 BNI SA001LYK932F0121 Khaerul Amrulloh IDD061119843274 IM009 BBB IM009MXLLLLLL01 BBB BUMN Plus

6 2015-05-28 Switching 89 Out/In Inputted Amended SA004 Mandiri SA001HOI683F0124 Julia Jeong IDF110123456733 IM008 CCC IM008MXLIUIUI02 CCC

Unit Transactions > SUBS/REDM/SWTC Order > SUBS/REDM/SWTC Order Inquiry

Selling agents, investment managers, custodian banks, KSEI, OJK inquire the order list of switching orders.

Clear

v

v

v

Summary

v

v

Switching Order

- In case of switching-Order List, for

SA&KSEI

SWTC

SUBS/REDM

Transaction Type Total Inputted Approved Rejected Received Completed

Switching 6 1 2 1 2 0

Download (Excel)

Selling Agent : Date :

Investment Manager : Fund :

Custodian Bank : Status :

Transaction Type : Standard/Late :

Search Criteria :

2015-05-28

~

2015-05-28

Print

Order List Cancellation List

_Search

All

Input Date

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

No. Trade Date Settlement Date IM Code IM Name Security Code Security Name Buy/Sell CCY Price Quantity Reference No.

1 2015-05-28 2015-05-31 IM001 Schroder BBCA Bank Central Asia Ord Shs Buy IDR 12,831.70 1,407,200

2 2015-05-28 2015-05-27 IM001 Schroder INDS Indo spring Ord Shs Sell IDR 1,655.00 12,100

3 2015-05-28 2015-05-31 IM001 Schroder MLPL Multipolar Corp TBK Sell IDR 799.00 760,100

4

Asset Transactions > Equity > Trade Detail(TD) Input

Create

v

v

BRs type in Trade Details in the format displayed on this screen. If a broker clicks the Add Row button, a new empty row will be added on the grid, allowing the user to input the trade

Delete Row

Add Row

Clear

Trade Detail(TD) Details

Broker : Input Date :

Investment Manager:

BR001

Macquarie

2015-05-28

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Asset Transactions > Equity > Trade Allocation(TA) Input

Create

v

IMs can type in the TA details to the NFS by filling in the system format. When the IM clicks ‘Add(pop-up)’ button, there will be a pop-up for input of TA details, and a newly inputted

trade will be added on grid upon completion of filling the pop-up . TA input should be made on the trade date. However, it can be inputted until settlement date if the previous TA is

cancelled due to the related SI cancellation. Trade date ≤Input date ≤Settlement date

Trade Allocation(TA) Details

No. Trade ID Trade Date Settlement Date BR Code BR Name Fund Code Fund Name Security Code Security Name Buy/Sell CCY Price Quantity

1 LCEQUI01 2015-05-28 2015-05-31 BR001 Macquarie IM00101SSCHROD01 Schroder Fund No. 1 BBCA Bank Central Asia Ord Shs Buy IDR 12,831.70 1,400,000

2 LCEQUI02 2015-05-28 2015-05-31 BR001 Macquarie IM00101SSCHROD02 Schroder Fund No. 2 BBCA Bank Central Asia Ord Shs Buy IDR 12,831.70 7,000

3 LCEQUI03 2015-05-28 2015-05-31 BR001 Macquarie IM00101SSCHROD03 Schroder Fund No. 3 BBCA Bank Central Asia Ord Shs Buy IDR 12,831.70 200

4 LCEQUI04 2015-05-28 2015-05-31 BR001 Macquarie IM00101SSCHROD0A Schroder Fund No. A INDS Indo spring Ord Shs Sell IDR 1,655.00 10,000

Add(pop-up)

Delete Row

Investment Manager : Input Date :

Broker :

2015-05-28

Clear

v

Macquarie

BR001

IM001

Schrod

er

Save

1. UI Layout

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Asset Transactions > Equity > Settlement Instruction(SI) Inquiry

BRs, CBs and KSEI can inquire the details of settlement instruction(SI). SI reference number will be generated automatically by NFS upon completion of matching process per each

Clear

v

v

Settlement Instruction(SI) Details

v

v

v

No. Trade ID Trade Date Settlement Date IM Code IM Name BR Code BR Name Counterparty Code Counterparty Name Place of Settlement Fund Code Fund Name

1 LCEQUI01 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie KSEIIDJAXXX IM00101SSCHROD01 Schroder Fund No. 1 Registered

2 LCEQUI02 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie KSEIIDJAXXX IM00101SSCHROD02 Schroder Fund No. 2 Registered

3 LCEQUI03 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie KSEIIDJAXXX IM00101SSCHROD03 Schroder Fund No. 3 Registered

4 LCEQUI04 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie KSEIIDJAXXX IM00101SSCHROD0A Schroder Fund No. A Registered

5 LCEQUI05 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie KSEIIDJAXXX IM00101SSCHROD0B Schroder Fund No. B Registered

6 OFFEQUI01 2015-05-28 2015-05-31 IM001 Schroder CREDIT Credit Suisse(US) Ltd CREDIT Credit Suisse(US) Ltd DTCYUS33 IM00101SSCHROD01 Schroder Fund No. 1 Offshore

7 UNRE01MF 2015-05-28 2015-05-31 IM001 Schroder BR001 Macquarie BR001 Macquarie IM00101SSCHROD01 Schroder Fund No. 1 Unregistered

Download

-

When the system user is Custodian Bank

Summary

Number of SIs Total Quantity

Buy 5 1,407,200

Sell 2 12,100

Custodian Bank : Date :

Investment Manager : Fund :

Broker : Registration Type :

Security : Status :

Search Criteria : Cut-off Status :

Search

Print

2015-03-12

~

2015-03-12

Trade Date

SI List Cancellation List

All

CB001

Deutsche Bank

IM001

Schroder

_-All

-Registered

-Offshore

-Unregistered

All

-All

-Before Cut-off

-After Cut-off

1. UI Layout

Description

Screen Name

Data

Layout

User

IM SA CB BR KSEI OJK Admin

Only

4-eyes Application

Asset Transactions > Equity > OTC Instruction Additional Data Input/Amendment

Clear

v

v

Additional data input for OTC instruction

Bulk Input Purpose

CBs and BRs can type in the additional data on the NFS screen manually to generate OTC instructions to be used on C-Best.

The column on grid will be rearranged depending on instruction type. For convenience, a pop-up for the detailed SI will be displayed by clicking the data on SI reference column. When

the input is completed, OTC instruction will be generated in NFS and ready to be downloaded and/or sent to C-Best.

Participant : Settlement Date :

Counterpart : Security :

Search Criteria : Instruction Type :

CB001

Deutsche Bank

Search

OTC Creation OTC Amendment

2015-05-31

No. SI Reference Instruction Type Bulk Input External Reference Description Purpose Trading Reference Settlement Reason Participant Account

Cash Participant Code Participant Account Counterpart Code

1 SI20150528LCEQ000001 RVP 000000 - - - CB001 9X000000100161 BR001

2 SI20150528LCEQ000002 RVP 000000 - - - CB001 9X000000100161 BR001

3 SI20150528LCEQ000003 RVP 000000 - - - CB001 9X000000100161 BR001

4 SI20150528LCEQ000004 DFOP EF123GH123 ∆∆∆∆∆∆ EXCHG EF123GH123 TRAD CB001 9X000000100161 BR001

5 SI20150528LCEQ000005 DFOP EF456GH456 ∆∆∆∆∆∆ EXCHG EF456GH456 TRAD CB001 9X000000100161 BR001

- In case of DFOP instruction

Save

Settlement

Reason