Annexure 9 Functional and Technical Requirement ( UPDATED)

Annexure 9.0 General

Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
Buine Partner
Classification of type of Entity Readily
Available
Entity setup is available in
application
Maker Cecker !orkflo" # "it
clear demarcation for
$ront%Mid%&ack 'ffice
Readily
Available
Proposed application comes "it
a compreensive "orkflo" "it
maker cecker fle(ibility
)ndustry Classification using
N)C code as suggested by
)R*A as "ell as sould ave
facility to maintain multiple
)ndustry classification
Readily
Available
)R*A Cat Code classification is
available
)ndustry%Sector etc can also be
maintained
+pload facility for &alance
Seet data from Capital line or
Pro"ess
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
Capture additional data for
)R*A auto classification of
)R*A Cat code
Readily
Available
'nce data is uploaded system
"ill do re classification
-inkages to .roup companies
to be maintained/ promoter
groups to be identified
distinctly for )R*A
classification
Readily
Available
!ecurit" #ater
Maker Cecker Readily
Available
Capture additional data for
)R*A auto classification of
)R*A Cat code
Readily
Available
0istory of status canges to
be maintained for vie"ing
classification canges like
1uoted%approved etc
Readily
Available
All istory 2 Audit data is also
maintained
Additional data to be captured
for Pro3ect debentures
Readily
Available
Capture market information
from an outside source and
%or manually upload%input te
market information suc as
prices/ yields/ etc,
Readily
Available
&ank Reconciliaton #Manual %
Electronic "it MT456
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
&reac in soft limits to be
notified to
identiifed person%C)'
Readily
Available
Te said re1uirement is covered
under te Risk and Compliance
definition parameters "ere te
end user can set te )nvestments
limits as per te defined
parameters, )n,M$und empasis
is given to risk and compliance as
today7s fund managers ave to
make sure tat all regulatory as
"ell as internal compliance
re1uirements are met, Te
application supports setting bot
.lobal as "ell as Specific limits,
*etails of te same are given
belo"8
9, )nvestment Regulatory -imits
:, )nvestment Committee
-imits%Client Mandates
Along "it te limit definition set
up a limit en1uiry and online
compliance monitoring is te part
of te standard feature of te
product
Price to be captured in 5
decimals minimum
Readily
Available
Cancelled deals and trade
failures #system to escalate to
iger autorities
Readily
Available
$acilitate $air ;alue
accounting
Readily
Available
T*S provisions Compliance %
Service ta( compliance
Configurable More details can be discussed
during solution mapping
Custodian Reconciliation
#*emat 2 Pysical
Readily
Available
Annexure 9.$% Treaur" Bill and Bond&'ah #ana(ement Bill
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
9,9 )utri(ht Purchae and !ale
in !econdar" #ar*et
throu(h +D! or PD,
Readily
Available
Pricing # <ield based pricing of
securities =conversion of yield
to price and vice versa>
Readily
Available
T# bills # 9%=9?yield>@No of days
to maturity%ABC
Readily
Available
9,: Computation of &rokerage Readily
Available
9,A $eatures8 *ifferent value dates
=T?6/ T?9/ T?:>/ Pre deal
process "it validation of
)R*A limits/ *elegated
Readily
Available
Autority -imits,
9,5 N*S#'M interface re1uired To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
9,C )nventory valuation using
!eigted Average Cost
Readily
Available
9,B Amortization%Accretion of
*iscounts using -inear
Metod
Readily
Available
9,D 'n line calculation of capital
gain or loss on outrigt sale
Readily
Available
9,E &ack office8 Process for
verification =Maker cecker> of
every deal/ vie"ing of limit
breaces if any,
Readily
Available
9,4 Accounting8 Settlement of
payment on settlement date,
Redemption%discount on
Maturity,
Readily
Available
9,9 Re-ort (T./ill) Readily
Available
*eal ticket Readily
Available
*eal confirmation letter by print
or e#mail to Counterparty/
&roker
Readily
Available
T, bill portfolio position report #
including )nvestment *ate/
Maturity *ate/ purcase cost/
purcase yield/ current market
yield/ purcase price/
amortized cost/ face value/
market value/ )S)N,
Readily
Available
Capital gain %loss report for any
given period
Readily
Available
Amortization%Accretion of
discount report for any given
period
Readily
Available
Maturity $orecast Readily
Available
Cas $lo" Report available
on#line so"ing settlement
date and maturity date inflo"s
Readily
Available
9,99 Ri* Anal"0er 1or Front
)11ice 2 #id )11ice 2 Bac*
)11ice
Readily
Available
Portfolio *uration 2 Conve(ity
for individual T#bill or portfolio
of T#bill or overall *ebt%$i(ed
)ncome
Readily
Available
;alue at Risk =;aR> for
individual T#bill or portfolio of
T#bill or overall *ebt%$i(ed
Readily
Available
)ncome/ "it and "itout
scenario
Scenario Analysis #Sift in
yield curve on absolute
values/ Percentage sift/
parallel sift and comparative
;alues "it%"itout sift and
P- impact
Readily
Available
To be
Customized
Scenario analysis is available in
Risk Management module to
ceck impact on portfolio from
risk perspective, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Performance Measurement of
<ield on Tbill Portfolio based
on mark to market values
using Modified *ietz metod/
comparison "it &encmark
<ield
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
9,9: $)$' metod of calculation of
profit
Readily
Available
Annexure 9.3% 'entral Go4t. !ecuritie5 !tate De4elo-ment 6oan5 )ther
A--ro4ed !ecuritie5
S- No Particulars Readily
Available
Configurable To be
Customized
Remarks
:,9 )utri(ht Purchae and !ale
in !econdar" #ar*et
throu(h +D! or PD, )r
Bro*er
Readily
Available
:,: Pricing # <ield based pricing of
securities =conversion of yield
to price and vice versa>
Readily
Available
:,A Computation of Service carge
&rokerage etc
Readily
Available
:,5 $eatures8 *ifferent value dates
=T?6/ T?9/ T?:>/ Pre deal
process "it validation of
)R*A limits/ *elegated
Autority -imits,
Readily
Available
:,C N*S#'M interface re1uired To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial, !e can
provide an option to upload
e(ecuted file from N*S 'M into
M$und, 'nce tis is done deals
"ould be bunced and allocated
to fund%funds,
:,B N*S#Auction interface re1uired To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,!e can
provide an option to upload
e(ecuted file from N*S 'M into
M$und, 'nce tis is done deals
"ould be bunced and allocated
to fund%funds
:,D 7nteret rate Readily
Available
:,E $i(ed and%or variable interest
rates
Readily
Available
:,4 )nterest calculation = AB6%AB6> Readily
Available
:,9 interest accrual #*aily Readily
Available
:,99 )nventory valuation using
!eigted Average Cost
Readily
Available
:,9: Capitalization of Transactions
cost like CC)- carges
optional
Readily
Available
:,9A Amortization # daily using
-inear Metod
Readily
Available
:,95 'nline calculation of capital
gain or loss on outrigt sale
Readily
Available
:,9C &ack office8 Process for
verification of every deal/
vie"ing of limit breaces if any,
Readily
Available
:,9B Accounting8 Settlement of
payment on settlement date,
Coupons payment and
Maturity redemption,
Readily
Available
:,9D Re-ort Readily
Available
:,9E *eal ticket Readily
Available
:,94 *eal confirmation letter by print
or e#mail to Counterparty/
&rokers
Readily
Available
:,: portfolio position report #
including )nvestment *ate/
Maturity *ate/ purcase cost/
current market yield/ purcase
price/ amortized cost/ face
value/ market value/ )S)N,
Readily
Available
:,:9 Capital .ain % -oss report for
any given period
Readily
Available
:,:: Amortization report for any
given period
Readily
Available
:,:A Maturity $orecast Readily
Available
:,:5 Cas $lo" Report available
on#line so"ing settlement
date and maturity date
Readily
Available
:,:C Coupon Receivable Report for
any future period%Coupon
received for any period
Readily
Available
:,:B Ri* Anal"0er 1or Front
)11ice 2 #id )11ice 2 Bac*
)11ice
Readily
Available
:,:D Portfolio *uration 2 Conve(ity
for individual Security or
portfolio of Security or overall
*ebt%$i(ed )ncome
Readily
Available
:,:E ;alue at Risk =;aR> for
individual Security or portfolio
of Security or overall
*ebt%$i(ed )ncome
Readily
Available
:,:4 Scenario Analysis #Sift in
yield curve on absolute
values/ Percentage sift/
paralle sift and comparative
;alues "it%"itout sift and
P- impact
Customisable
:,A Performance Measurement of
<ield on Security Portfolio
based on mark to market
values using T!RR/
comparison "it &encmark
<ield # 'ption to be available
for analysis on proforma basis
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
:,A9 )nstrument "ise ledger Readily
Available
:,A: .overnment securities
Revenue scedule
Readily
Available
:,AA $)$' metod of calculation of
profit
Readily
Available
Annexure 9.8% 'B6)5 'P 2 'D
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
A,9 7n4etment&)utri(ht
Purchae in !econdar"
#ar*et
Readily
Available
A,: Pricing # <ield based pricing of
securities =conversion of yield
to price and vice versa>
Readily
Available
A,A *iscount ;alue# 9%=9?yield>@No
of days to maturity%ABC or ABB
Readily
Available
A,5 Computation of &rokerage Readily
Available
A,C $eatures8 *ifferent value dates
=T?6/ T?9/ T?:>/ Pre deal
process "it validation of
)R*A limits/ *elegated
Autority -imits,
Readily
Available
A,B )nventory valuation using
!eigted Average Cost
Readily
Available
A,D C&-' N*S )nterface To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
A,E Amortization%Accretion of
*iscount # daily using -inear
Metod
Readily
Available
A,4 &ack office8 Process for
verification of every deal/
vie"ing of limit breaces if any,
Readily
Available
A,9 Accounting8 Settlement of
payment on settlement date,
Redemption%*iscount on
Maturity,
Readily
Available
A,99 Re-ort (#one" #ar*et) Readily
Available
A,9: *eal ticket Readily
Available
A,9A *eal confirmation letter by print
or e#mail to Counterparty/
broker
Readily
Available
A,95 Portfolio position report #
including )nvestment *ate/
Maturity *ate/ purcase cost/
purcase yield/ current market
yield/ purcase price/
amortized cost/ face value/
market value,
Readily
Available
A,9C Amortization%Accretion of
discount report for any given
period
Readily
Available
A,9B Security Cas $lo" Report
available on#line so"ing
settlement date and maturity
date
Readily
Available
A,9D Ri* Anal"0er 1or Front
)11ice 2 #id )11ice 2 Bac*
)11ice
Readily
Available
A,9E Security ;alue at Risk =;aR>
for individual T# bill or portfolio
of T#bill or overall *ebt%$i(ed
)ncome
Readily
Available
A,94 Security Scenario Analysis
#Sift in yield curve on
absolute values/ Percentage
sift and comparative ;alues
"it%"itout sift and P-
impact
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,Scenario
analysis is available in Risk
Management module to ceck
impact on portfolio from risk
perspective
Tis "ould be customised in
$und Management Module
#M$und
A,: Performance Measurement of
<ield on MM Portfolio based
on mark to market values
using Modified *ietz metod/
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
comparison "it &encmark
<ield
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
A,:9 <ield as on date =C&-' yield
day "ise>
Readily
Available
Annexure 9.9% De/enture &:ero 'ou-on Bond & Dee- Dicount Bond& ;"/rid Bond& Per-etual&
7n1ratructure De/t 1und <+BF'=&Aet Bac*ed !ecuritie&#ort(a(e Bac*ed !ecuritie&!ecurit" Recei-t
(De/t) ('on4erti/le& +on 'on4erti/le> 6ited&Unlited> !ecured & Unecured> Taxa/le& Tax1ree5 Floatin( & 1ixed
rate Bond)
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
5,9 'utrigt purcase and sale in
Secondary Market/ All deals
sould be autorized by te
$und Manager and e(ecuted
by te *ealer
Readily
Available
)nterest Calculation % Pricing
basis =Actual%Actual/
Actual%ABB/ Actual%ABC>
Readily
Available
$acility to create a separate
trading portfolio "it mark to
market =no amortization>
Readily
Available
5,: Primary application sould
support calculation of interest
till allottment and te relevant
accountings for application/
allotment "it interest and
refund or allotment money
=*irect or troug AS&A>
Readily
Available
5,A Computation of &rokerage =if
troug &roker> on Principal
consideration amount =not
$ace value>/ Capitalization of
Transactions cost # Custodian
carges optional
Readily
Available
5,5 $eatures8 ;alue dates =T?6/
T?9/ T?:>/ capture broker
different from counter party/
Calculate Accrued interest, Pre
deal process "it validation of
)R*A limits/ *elegated
Autority -imits,
Readily
Available
5,C -inear Amortization for book
value greater tan $ace value
Readily
Available
5,B Call and Put 'ptions Readily
Available
5,D +pload facility to update
ratings and facility to update
istory of ratings upto cut#off
date
Readily
Available
5,E 7nteret Rate Readily
Available
$i(ed and%or variable interest
rates
Readily
Available
Cap and floor for floating rates Readily
Available
)nterest calculation
=actual%actual/ actual%ABC/
Actual%:>
Readily
Available
Fero coupon *ebentures Readily
Available
5,4 Ability to capture details of
Convertible *ebentures and
transfer convertible portion on
due date to e1uity
Readily
Available
5,9 Ability to capture details of
"arrants for conversion to
e1uity at a future date
Readily
Available
5,99 Provision to process non#linear
installments and make
ad3ustment accordingly,
Readily
Available
5,9: Redemption may be at par or
premium,
Readily
Available
5,9A Accrued interest # *aily Readily
Available
5,95 Provide staggered payment
for primary market
investments "it multiple calls,
Readily
Available
5,9C Staggered redemption of
Principal amount/ Call%Put
option and interest calculation
accordingly
Readily
Available
5,9B Maintenance of rating
migration istory and )R*A
codes
Readily
Available
5,9D Support sut period
calculation#for purcase and
sale during sut periods
calculate accrued interest on
deal and accrual at mont end
for te same,
Configurable
5,9E &ack office8 Process for
verification of every deal/
vie"ing of limit breaces if any,
Readily
Available
5,94 Accounting8 Settlement of
payment on settlement date,
Redemption on Maturity,
Readily
Available
5,: Custodian Reconciliation Readily
Available
5,:9 Calculation and Statement of
overdue )nstallment% Simple
)nterest% Compound )nterest%
-i1uidation *amages and
interest on non creation of
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
security,
5,:: Calculation of Simple interest/
compound interest/ li1uidated
damages/ interest on non
creation of security and
li1uidated damages on te
installment tat ave fallen due
but not paid,
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
5,:A Re-ort . includin( /ut not
limited to
Readily
Available
*eal ticket Readily
Available
*eal confirmation letter Readily
Available
Portfolio position report #
including )nvestment *ate/
Maturity *ate/ purcase cost/
Purcase yield/ market yield/
"eigted average yield/
purcase price/ amortized
cost/ face value/ market value/
)S)N/ Rating,
Readily
Available
Capital gain report for any
given period
Readily
Available
Amortization report for any
given period
Readily
Available
Accrued interest report Readily
Available
)nterest Receivable Readily
Available
Maturity $orecast Readily
Available
Revenue Scedule
=)nstrument#"ise -edger %-oan
!ise>
Readily
Available
Cas $lo" Report Readily
Available
5,:5 Ri* Anal"0er Readily
Available
;alue at Risk =;aR> Readily
Available
Portfolio *uration 2 Conve(ity Readily
Available
!at if analysis # Scenario
Analysis Sift in yield curve on
absolute values/ Percentage
sift/ parallel sift and
comparative ;alues
"it%"itout sift and P-
impact
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial, Scenario
analysis is available in Risk
Management module to ceck
impact on portfolio from risk
perspective
Tis "ould be customised in
$und Management Module
#M$und
Performance Measurement of
<ield on MM Portfolio based
on mark to market values
using Modified *ietz metod/
comparison "it &encmark
<ield
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
5,:C +PA Procein( Readily
Available
Automated Classification of
Non Performing Assets on
R&) guidelines
Readily
Available
Auto Provision for Standard
Assets and oter NPAs as per
R&)%)R*A guidelines
Readily
Available
Provision to discontinue
income recognition for NPA
accounts and reversal if
accounted for,
Readily
Available
0istory of NPA creation and
updation # Calculation of
)nterest due not taken to
revenue #)nterest not
recognised in books,
Readily
Available
5,:B 'nline deal creation Readily
Available
5,:D Accrued interest calculation
sould be on daily basis,
Readily
Available
5,:E Accretion of discount to be
calculated
Readily
Available
5,:4 *eep discount bonds Readily
Available
5,A Restructuring points as per
-oans
Readily
Available
5,A9 Conversion facility to%from
different portfolio like Term
loan/ preference/ E1uity/
*ebentures/ etc
Readily
Available
5,A: Provision of S0+T Period and
Multi Calls % Puts
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial, Sut
Period provision can be
configured,
Multi Call%Put sut period "ill
re1uire minor customisations
5,AA Auto Categorization of
)nvestments as GApproved
)nvestmentsG and G'ter
)nvestmentsG at security level
Configurable
based on )R*A norms
Annexure 9.?% #utual Fund 2 @'F&Alternate 7n4etment Fund&7n1ratructure De/t 1und (#F) & ETF& Aet
Bac*ed !ecuritie&#ort(a(e Bac*ed !ecuritie&!ecurit" Recei-t (#utual Fund)
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
C,9 )T' Purchae and
Redem-tion
Readily
Available
C,: ;alue date 8 T?6/ T?9 Readily
Available
C,A )nventory valuation # "eigted
average cost =!AC>
Readily
Available
C,5 Mark to market # daily #
unrealized gain or loss carge
to P2-
Readily
Available
C,C 'nline Capital gain
calculation on
sale%redemption of units using
"eigted average cost
Readily
Available
C,B &ack office8 Process for
verification of every deal/
vie"ing of limit breaces if any,
Readily
Available
C,D Accounting8 Settlement of
payment on settlement date,
Readily
Available
C,E Auto Categorization of
M$%;C$%)*$%A)$%A&S%M&S%SR
)nvestments as GApproved
)nvestmentsG and G'ter
)nvestmentsG at security level
based on )R*A norms/ ;C$
"ould al"ays be under
G'ter )nvestmentsG
Configurable
?.9 Di4idend & Pro1it & 7nteret Readil"
A4aila/le
Provision for Manual entry of
*ividends % Profit % )nterest
Readily Available
Capitalization of *ividend and
associated accounting =Re#
)nvestment Cases>
Readily
Available
C,9 Re-ort Readily
Available
*eal ticket Readily
Available
*eal confirmation letter Readily
Available
Portfolio position report H
name of $und/ no of units/
!AC/ total cost/ market price/
market value/ mark to market
gain or loss/ Percentage to
total M$%;C$ portfolio value/
Readily
Available
Top $ive investments in te
portfolio according to invest
value
Turnover for individual brokers/
=Purcase/ Sales 2 aggregate>
"it total value and as
percentage of total turnover
*aily/ "eekly/ montly/
1uarterly analysis
Readily
Available
Cas flo" forecast report Readily
Available
M$%;C$%)*$%A)$%A&S%M&S%SR
# *ividend%Profit%)nterest report
=received and receivable> #
Montly#"ise 2 stock#"ise
analysis
Readily
Available
Numbers of transactions for
given period
Readily
Available
Revenue Scedule
=)nstrument#"ise -edger %-oan
!ise>
Readily
Available
C,99 Ri* Anal"0er Readily
Available
;alue at Risk =;aR> Readily
Available
!at if analysis # Scenario
Analysis sift in absolute
value or percentage prices
Readily
Available
$orecast portfolio position
based on ypotetical price
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
Performance Measurement of
<ield on MM Portfolio based
on mark to market values
using Modified *ietz metod/
comparison "it &encmark
<ield
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange can is re1uired ten te
same be customised
C,9: 'nline valuation troug
system based on <ield% NA;
Readily
Available
C,9A $ield sould be provided to
enter NA;
Readily
Available
C,95 Accounting of income of ;C$
as per $orm B5 provided by
te $unds
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
Annexure 9.A% FDR
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
B,9 7n4etment in /an* FDR
( and A!BA)
Readily
Available
B,: $eatures8 *ifferent value dates
=T?6/ T?9>/ *eal entry "it
validation of )R*A limits/
*elegated Autority -imits,
Readily
Available
B,A )nterest Capitalization Readily
Available
B,5 &ack office8 Process for
verification of every deal/
vie"ing of limit breaces if any,
Readily
Available
B,C Accounting8 Settlement of
payment on settlement date,
Redemption%)nterest on
Maturity,
Readily
Available
B,B )nterest Accrual #*aily Readily
Available
B,D Re-ort (#one" #ar*et)
includin( /ut not limited to
Readily
Available
*eal ticket Readily
Available
*eal Confirmation Readily
Available
$*R portfolio position report #
including )nvestment *ate/
Maturity *ate/ )nterest rate
Readily
Available
Available as part of reports
)nterest accrued during a
period
Readily
Available
Available as part of reports
Cas $lo" Report available
on#line so"ing settlement
date and maturity date
Readily
Available
Available as part of reports
B,E Ri* Anal"0er 1or Front
)11ice 2 #id )11ice
Readily
Available
!at if analysis # Scenario
Analysis Sift in yield curve on
absolute values/Percentage
sift/ parallel sift and
comparative ;alues
"it%"itout sift and P-
impact
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial, Scenario
analysis is available in Risk
Management module to ceck
impact on portfolio from risk
perspective,
Performance Measurement of
<ield on MM Portfolio based
on mark to market values
using Modified *ietz metod/
comparison "it &encmark
<ield
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
B,4 $* classification according to
Pvt 2 public sector bank
Readily
Available
)ssuer Sector/ )ndustry etc can be
captured in respective masters
B,9 Maturity date falls Sunday and
0olidays/ ten alert sould be
provided
Readily
Available
0oliday Master enabled "ould
provide tis functionality
B,99 field to enter payment% receipt
details=RT.S%ECS *etails>
Readily
Available
$ields to capture )ntrument
*etails available
Annexure 9.B% 6oan
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
D,9 Provide for accounting various
Classes of -oans like -ong
Term -oan =*irect Term
-oan/ Pro3ect $inance
Participation Sceme>/ Sort
Term -oan and &ridge -oans/
0ousing -oans/ -oans to
0+*C'/ State .ovt for
0ousing and $ire $igting
E1uipments
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Classify -oans into -ong
Term % Sort Term -oan/
.ovt % Non#.ovt/ Secured %
+nsecured/ Standard % Sub#
Standard/ )nfra % Non#)nfra/
0ousing % Non#0ousing,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,: -oan Management rigt from
time of sanction of te
proposal to receipt of final
outstanding
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
)N&)& Calculation =and report> Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,A Maintenance of Consortium
detail for Term -oans
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,5 Scedule of credit limits and
collateral securities
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,C Computation of Commitment
carges
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Payment of insurance
e(penses and security
e(penses
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,B Calculation of )nterest due not
taken to revenue #)nterest not
recognised in books,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Performing account =PA> and
NPA filtering facility
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,D Calculation and Statement of
overdue )nstallment% Simple
)nterest%Compound )nterest%
-i1uidation *amages and
interest on non creation of
security,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,E Calculation of Simple interest/
compound interest/ li1uidated
damages/ interest on non
creation of security and
li1uidated damages on te
installment tat ave fallen due
but not paid,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Conversion facility to%from
different portfolio like
preference/ E1uity/ *ebentures
etc
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
+p#gradation from NPA to PA Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,4 Retructurin( Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Affecting canges in rate of
interest "it retrospective
effect
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
*eferment of repayment Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
!aiver of -i1uidated
*amages% Compound
)nterest% oter interest or dues
including "aiver of principal
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Conversion of Principal%
)nterest into ne" instrument
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
$unding of interest # as on date
funding and period to period
funding "it non#fund based
accounting
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
'ne Time Settlement Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
0istorical data on restructuring
# )mportant information fields
may be included like 8 te
consortium partnersI approval
"it date/ teir e(posure/
-ead institutionIs approval
"it date/ C*R approval and
C*R information to usJ
Modifications to te
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,9 +PA
0istorical data on NPAs "en
classified as NPA and
progress of classification over
a period/ "it various default
dates # 'riginal default for
interest and redemption and
after restructuring,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Automated Classification to
NPA as per R&) guidelines
and monitoring of Non
Performing Assets
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Auto Provision for Standard
Assets and oter NPAs as per
R&)%)R*A guidelines
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Computation of 'utstanding
and overdues on performing
and non performing assets
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
0istory of NPA creation and
updation
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
D,99 Re-ort includin( /ut not
limited to
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
-edger maintenance Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
.eneration of statement of
outstanding in respect of non#
performing loans,
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
.enerate *emand Notice "it
up#to#date interest "eter
carged to account or not
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Statement of Account "it foot
note on interest and carges
due but not carged
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Accounting of -egal fees Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Multiple Restructuring Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Prepayment premium Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Provision for $loating rates of
interest
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Revenue Scedule
=)nstrument#"ise -edger %-oan
!ise>
Configurable To be
Customized
!e ave standard loans module
available, !e "ould enance te
same to comply "it +))C
re1uirements, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
Annexure 9.C% Equit" !hare 2 Pre1erence !hare
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
E,: Primar" #ar*et Readily
Available
)nitial Public 'ffers =)P'> H
)P'%$P'%'$S
Readily
Available
Modules to cover all types of
)nitial 'fferings/ "it separate
modules for application and
allotment
Cover primary market activities
of Application 2 Allotment #
Sould capable of capturing
and generating primary
market application money
accounting ="it or "itout
AS&A>, .enerating
accounting at allotment
Readily
Available
Separate modules for Application
and allotment and separate
accounting for bot are available
Support applications "it
AS&A for )P'%$P'
Readily
Available
Provide staggered payment for
primary market investments
"it multiple calls and te
accounting for te same,
Readily
Available
E,: Secondary Market H e(cange
traded
Readily
Available
Modules for capturing Secondary
trades available
: step Pre#*eal mandate for
outrigt Purcase % sale, All
deals sould be autorized by
te $und Manager and
e(ecuted by te *ealer
Readily
Available
!orkflo" defined from $M to
*ealer e(ercution to Mid office
confirmation to &ack office
accounting available
E1uity deals for"arded by
dealer are to be matced "it
te data of e(ecuted deals
received from te brokers
troug Straigt Troug
Process =STP> "it auto deal
Readily
Available
STP processing "it trade
matcing as "ell as custodian
instructions generation available
creation
)n e1uity &' sould generate
te files to be sent to custodian
for settlement "itout any
manual intervention,
Readily
Available
Te custodian files for STP
interface are available, Te oter
custodian files are available as
reports
Computation of &rokerage H
fi(ed and negotiable on market
value
Readily
Available
&rokerage fees computation of
fi(ed percentage defined in te
master is available, Also option to
edit te brokerages in case of
negotiated brokerage
Custodian fee on periodic
basis
Readily
Available
Custodian $ees accounting on
periodic basis on asset types
eld by custodian ia available
;alue date =T?:> =provision of
0olidays>
Readily
Available
T?N trade accounting based on
e(canges and segments can be
defined/ and option to cange te
same on a case to case in te
trade module itseld
$acility to create a separate
trading portfolio "it mark to
market =no amortization>
Readily
Available
;aluation parameters can be
defined sceme "ise also and
ence separate valuation policies
for different scemes can be
follo"ed
E,A Secondary Market open offer
for sale and buyback ="itout
STP>/ blocking of units "ic
as been offered
Readily
Available
Secondary market trades "itout
STP can also be andled/ and
blocking of units also is andled
E,5 )nventory valuation # "eigted
average cost =!AC>
Readily
Available
;aluation policies can be andled
on sceme%Asset type% or
security
E,C Capitalization of Transactions
cost like brokerage STT etc
Readily
Available
Can be andled using defining
various types of trade transaction
types "ic migt re1uire
capitalisation of carges and
"ic migt not re1uired
capitalisation,
E,B Mark to market # daily #
unrealized gain or loss carge
sould not be carged to P 2
- a %c
Readily
Available
MTM gain or loss can be made to
be carged or not carged to
P2- as per user settings
E,D Auto Categorization of
)nvestments as GApproved
)nvestmentsG and G'ter
)nvestmentsG at security level
based on dividend istory and
)R*A guidelines # Auto
classification as GActiveG and
GTinG
Configurable
E,E Custodian Reconciliation
#*emat 2 Pysical
Readily
Available
Custodian Reconciliation "it
&ack 'ffice System units are
available
E,4 !rite#off and !rite back for
impaired assets
Readily
Available
E,9 Maintain -ist of Active &rokers
in te panel
Readily
Available
&roker Master Available
E,99 Di4idend Readily
Available
+pload of *ata from Capital
on#line or &ilav for dividend
Readily
Available
+pload of &ilav files for corporate
Actions available including
*ividend/ Splits/ &onus and
Rigts
Calculation of dividend amount
based on no of sares on e(#
dividend date
Readily
Available
Automated process in te E'*
"ic passes accounting entries
on te E( date
Maintain information suc as
e(#date/ Payment date etc,
and give reports of due during
a period
Readily
Available
Corporate Actions reports are
available in reports section
E,9: Bonu Readily
Available
+pload of *ata from Capital
on#line or &ilav for &onus
Readily
Available
+pload of &ilav files for corporate
Actions available including
*ividend/ Splits/ &onus and
Rigts
E( date /Calculation of no of
bonus sare entitle based on
ratio given "it appropriate
rounding and cas entitlement
fo rounding
Readily
Available
Automated process in te E'*
"ic passes necessary
investment entries for &onus
Automatic Cange te !AC
according ne" no of sares
Readily
Available
Taken Care
$ractional entitlements #
Rounding off te fractional
part based on te
predetermined criteria
Readily
Available
'ption for Rounding off/
Rounding up and Rounding do"n
is available
E,9A Ri(ht Readily
Available
Allotment date/ KR date/
Rigts trading *ate/ *ate of
Renunciation/ Payment *ate
Readily
Available
Trading of rigts # purcase
and sale
Readily
Available
!AC calculation after
e(ercising te rigts
Readily
Available
E(pire of rigts Readily
Available
Calculate rigts entitlement
and generate rigts and
assign book value to te rigts
Readily
Available
E,95 Darrant Readily
Available
Calculation of no of "arrants
entitled
Readily
Available
Purcase and sale of "arrants Readily
Available
E(ercise of "arrants and
calculation of ne" !AC of
sare
Readily
Available
E,9C !toc* -lit& Re4ere toc*
-lit& 'on4erion
Readily
Available
+pload of *ata from Capital
on#line or &ilav for splits
Readily
Available
$ractional entitlements #
Rounding off te fractional
part based on te
predetermined criteria
Readily
Available
E,9B 'ter Corporate Action like
merger%demerger
Readily
Available
Corporate Actions like *ividend/
&onus/ Split/ Reverse
Split%Consolidation/ Conversion/
Merger/ *emerger/ Rigts are all
andled
E,9D &encmarking e1uity returns
"it &SE966 or N)$T<
Configurable
E,9E Ri* Anal"0er Readily
Available
;alue at Risk =;aR> Readily
Available
*elta%.amma Customisable Can be discussed,
!at if analysis # Scenario
Analysis Sift in )nde( or
security prices on absolute
values/Percentage sift/
parallel sift and comparative
;alues "it%"itout sift and
P- impact
To be
Customized
Scenario analysis is available in
Risk Management module to
ceck impact on portfolio from
risk perspective, !ould be part of
deliverable as under current
scope of solution and sared
commercial,
$orecast portfolio position
based on ypotetical price
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
Performance Measurement of
<ield on E1uity Portfolio
based on mark to market
values using Modified *ietz
metod/ comparison "it
&encmark <ield
Readily
Available
Configurable T!RR computation using
Modified *ietz metod is
available, Performance
measurement is done comparing
portfolio returns "it tat of
bencmark return, )f any furter
cange is re1uired ten te same
can be customised
E,94 Re-ort includin( /ut not
limited to
Readily
Available
*eal ticket Readily
Available
*eal confirmation letter # Readily
Available
Portfolio position report # name
of stock/ no of sares/ !AC/
total cost/ market price/
market value/ mark to market
gain or loss/ Top $ive
investments in te portfolio
according to invest value
Readily
Available
E(posure limit report # sector/
group and company "ise
Readily
Available
&rokers %*ealers reports #
report need to include te
follo"ing8
Readily
Available
Stock "ise brokerage fees Readily
Available
Turnover for individual
brokers/ =Purcase/ Sales 2
aggregate> "it total value
and as percentage of total
turnover *aily/ "eekly/
montly/ 1uarterly analysis
Readily
Available
Cas flo" forecast report Readily
Available
E(posure limit report # Single
sare -imit/ Sector E(posure
-imit/ .roup "ise E(posure
Readily
Available
*ividend report =received and
receivable># Montly
Readily
Available
E,: '$S =Type of ac1uisition>
Route marking option
Customisable Can be discussed,
E,:9 option to convert e1uity
to%from oter Portfolios like
preference / T-/ ETC
Readily
Available
E,:: 'ption to create $uture 2
option in system
Readily
Available
All kinds of )nde( and Stock
*erivatives can be created and
traded in te system
E,:A marking of ig beta% lo" beta
stock troug online
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
E,:5 Montly Planner% *aily planner
# ;ariance analysis
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
E,:C Market 'perations Committee#
Autority/ -imit incorporation
Readily
Available
E,:B Mark to market linking "it
e(ternal agency like Ne"s"ire
Readily
Available
*irect -inkage not available/
o"ever uploads are available
E,:D $)$' metod of calculation of
profit
Readily
Available
E,:E Active%TinJ
Approved%+napprovedJ
*P%N*P classification
Readily
Available
E,:4 Provision for S-& =Stock
-ending 2 &orro"ing>
Readily
Available
E,A Preference sares # NPA/ restructuring/ conversion
#Provision to be made as stated under -oans 2 debentures
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
Annexure 9.9% Ri* #ana(ement
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
4,9 *efine yield curve based on
$)MM*A yield curve/ and
additional yield curve "it
spreads for oter tan .ovt
securities
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
4,: *efine te follo"ing indices/
SENSEK/ N)$T< =&SE 966
optional>
Readily
Available
Any stock e(canges including
NSE/&SE indices can be created
in e(cange master and can be
linked to various asset types,
4,A Provide for capture of market
data for atleast one year prior
to te cut#off date for
implementation
Readily
Available
4,5 Calculate Macaulay *uration/
Modified duration/ Conve(ity/
&asis Point ;alue =&P;> or
Price ;alue of a &asis Point
=P;&P> and ;alue at Risk for
te portfolio as "ell as
individual position
Readily
Available
Te system provides bot
Macaulay and Modified duration
analysis for te entire book of te
bank% financial institution, Te
system also allo"s te
calculation of conve(ity and
impact of te same on market
value of an instrument for cange
in interest rate,
4,C Support for on#line Portfolio
revaluation "it facility to
reflect te current status
irrespective of valuation as per
accounting standards
Readily
Available
MTM is performed in LastleM
Risk Management system, Te
same is te part of te ;aR
report "ic is available in te
system, Te report can be vie"d
portfolio "ise and also as te
drilldo"n facility available,
4,B Provide for generating
scenario analysis based on
market conditions like cange
in e1uity prices fall by
predefined percentage across
te board/ cange in yield
curve using parallel sift or
user defined scenario and
measaure impact on P2-/
durat
Readily
Available
LastleM Risk Management
scenario analysis is a 1ualitative
testing tecni1ue/ "ic allo"s
users to define scenarios by
entering te rates for te various
market risk variables, Rates for
te scenarios can be eiter
entered directly or derived from
e(isting market rate by defining
some stress e1uations or by
providing spreads to alter e(isting
rates do"n"ards or up"ards
4,D Calculation of Present
;alue%<ields of te Cas
$lo"s of te instruments,
Readily
Available
Present value of te cas flo"s
are calculated based on te zero
coupon yield curve =FC<C>,
4,E &encmark te e1uity portfolio
"it sense(%N)$T<%&SE966
and measure te returns and
compare "it te bencmark
returns
Readily
Available
Rate of Return "rt market is
calculated
4,4 &encmark te *ebt%$i(ed
)ncome portfolio "it gsec
yield curve and appropriate
spread and measure te
returns and compare "it te
bencmarks
Readily
Available
!e value te portfolio using te
gsec yield and spread, Te same
is available on te report level/
"ic can ten be used to
compare "it te respective
bencmarks by te user,
4,9 Calculate risk ad3usted returns
like Treynor Ratio/ Sarpe
Ratio etc
Configurable Risk ad3usted returns like
Treynor/ Sarpe/ )nformation
ratio/ Sortino etc are available in
some client versions, Same can
be configured for +))C also
4,99 All Standard Reports to be
made available
Readily
Available
Standard ;aR Reports for Market
Risk are available
4,9: Configure Results database for
risk and returns
Customisable Can be discussed,
4,9A Ley figures like Macaulay
*uration/ Modified *uration/
Conve(ity/ &asis Point ;alue
=&P;> or Price ;alue of a
&asis Point =P;&P>/ ;alue at
Risk And Returns using
modified *ietz metod/
Treynor Ratio/ Sarpe Ratio
etc sould be sceduled to be
stored in te results database
for backtesting at future point
of time,
Readily
Available
4,95 Maintenance of 'nline 0ard
limits and Soft limits for
)nvestment Pattern
Readily
Available
-imits bot ard and soft can be
defined under te limit master in
te system for eac security,
4,9C E(ceptional -og generated for
soft breaces
Readily
Available
System generates alerts during
soft bearc but gives an option
for te user to proceed,
4,9B Maintenance of 0ard limits and
Soft limits for E(posure
Master
Readily
Available
4,9D )R*A Category Code
generation sould be
parameter driven and not
manual input
Readily
Available
)R*A Cat Code is generated as
per te defined parameters in te
system,
4,9E *elegated Autority 2 )nternal
Policy report specify if
re1uired
Readily
Available
Te system "ill ave a separate
login for admin "o "ould ave
te rigts for te system,
Annexure 9.$0% 7RDA and #7!
Re-ortin(
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
96,9 Cas Management System to
provide te funds available for
)nvestment considering te
settlement obligations and
subscription and redemption
of units etc
Readily
Available
96,: Receivable and payable
reports over due receipts
Readily
Available
96,A Performance Evaluation of te
Portfolio on a periodic and ad#
oc basis
Readily
Available
96,5 Total portfolio position report
for any given date
Readily
Available
96,C Calculation of )nterest for
'verdues like C)/ Penal
)nterest / -i1uidated *amages
To be
Customized
!ould be part of deliverable as
under current scope of solution
and sared commercial,
96,B )R*A $orm 9 # Statement of
)nvestment and )ncome on
)nvestment "it additional
detailed report for
reconciliation
Readily
Available
96,D )R*A $orm : =Part A/ &/ C>
Statement of *o"ngraded
)nvestments/ *etails of Rated
)nstruments "it additional
detailed report for
reconciliation
Readily
Available
96,E )R*A $orm A& =Part A 2 &>
Statement of )nvestment
Assets
Readily
Available
96,4 )R*A $orm 5 A =Part A/ &/C/ *
> E(posure % Prudential and
oter )nvestment Norms
)nvestee Company/ .roup/
Promoter .roup/Non
Promoter .roup/ )ndustry
Sector "it additional detailed
report for reconciliation
Readily
Available
96,9 )R*A $orm C "it additional
detailed report for
reconciliation
Readily
Available
96,99 Statement of )nvestment
Reconciliation CA
Readily
Available
96,9: )R*A $orm B =$orm BA being
Anne(ure to $orm B>
Readily
Available
96,9A )R*A $orm D Statement of
Non# Performing Assets "it
additional detailed report for
reconciliation
Readily
Available
96,95 N-#:E Statement of Assets Configurable
96,9C N-#AB <ield 'n )nvestments Configurable
96,9B N-#AD Statement of
do"ngraded )nvestments
Configurable
96,9D Scedule E Readily
Available
96,9E Scedule 4 and all oter
scedules prepared at te end
of Mont%1uarter%year
Readily
Available
96,94 )R*A 'n#line )nvestment
Pattern Report
Readily
Available
96,: 'n#line E(posure limit reports
for .roup/ )ndustry/ Company
Readily
Available
96,:9 )R*A Category Code
Classification "ise
outstanding report as on date
Readily
Available
96,:: Cas flo" report indicating
funds usage during a financial
year
Readily
Available
96,:A M)S on M$ income on $)$'
basis
Configurable
96,:5 Automatic uploading of )R*A
Returns to )R*A =&AP>
Configurable
96,:C N-#:4 # *etails Regarding
*ebt Securities
Configurable
96,:B N-#AC # Statement on Non#
Performing Assets
Configurable
96,:D N- A9 # Related Party
*isclosure
Configurable
96,:E Capital Market E(posure #
Montly Return
Configurable
96,:4 Net"ork analysis of R&) # &P
"ise olding =Pattern>
Configurable
96,A $orm 5 =Part A> # Calculation Readily
Available
96,A9 *SS#*ecision Support System
Calculation of
<TM/<TC/<TP/<T "orst%best/
zero coupon %STR)PS%floating
rate bonds%M)&'R linked
investments etc, &lack
Scoles model Scenario
Analysis Calculation of
.reeks for e1uity option
Partially
Available
Can be discussed
96,A: Accounting of Portfolio on
Policyolders funds
Sareolders funds
Readily
Available
Annexure 9.$$% Deri4ati4e
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
99,9 Provision for capturing te
data relating to )nterest Rate
S"aps/ )nterest Rate $utures/
credit default s"aps/ options
and futures ="en allo"ed by
te regulator>
Readily
Available
E(cept for C*S
99,: Accounting entries as per
regulatory re1uirements
Readily
Available
99,A .eneration of deal slips Readily
Available
99,5 Capturing te details of te
derivatives in te case of te
)RS on te notional principal
Readily
Available
Complete $lo" of )RS is available
99,C Calculation of premium on
C*S on te notional principal,
Not
Available
99,B Risk Management frame"ork
for derivatives as prescribed
by regulators% or capturing
internal risk management
frame"ork,
Readily
Available
Annexure 9.$3% !ecuritie
BorroEin( and 6endin( #echanim
(!6B!)
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
9:,9 Computation of lending fee as
percentage or as a
percentage on te market
value of stock lent,
Readily
Available
9:,: Computation of autorized
participants fee
Readily
Available
9:,A Computation of custodian fee
at eac leg of te transaction
"it min ma( limits,
Readily
Available
9:,5 Provision for movement of
stock to and fro in te oldings
database
Readily
Available
9:,C Provision for capturing te
income in te accounting
segment
Readily
Available
9:,B Alerts for not e(ceeding te
limits # bot regulatory as "ell
as internal limits if any for
eac instrument
Readily
Available
9:,D .eneration of *eal Slips Readily
Available
9:,E .eneration of Periodic
Statements
Readily
Available
Annexure 9.$8% Aet 6ia/ilit"
#ana(ement (A6#)
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
9A,9 Classification of portfolio on
te basis of Macaulay duration
under different time buckets
Readily
Available
LastleM Asset -iability
Management provides bot
Macaulay and Modified duration
analysis for te entire book of te
bank% financial institution,
*uration gaps statement igligt
bucket#"ise comparison of
market value/ present value and
duration of institution7s assets
and liabilities,
9A,: !eter te same could be
prepared on line of
business"ise
Readily
Available
Te provision to provide same
division "ise is available in te
system,
9A,A !eter tere is provision to
provide te time bucket
information for liabilities and
assets so tat te same can be
classified under various time
buckets
Readily
Available
LastleM Asset -iability
Management allo"s complete
fle(ibility in defining te number
and sizes of time buckets, Tere
is no cap on te number of time
buckets and user can cange as
and "en re1uired, )t provides
separate maturity time bucket for
li1uidity and interest rate
sensitivity analysis,
9A,5 Preparation of Net cas flo"
statement on te above basis
Readily
Available
Net Cas $lo" statement is
available
9A,C Preparation of te net cas
flo" under various scenarios
as provided under te
regulations # reduction
%increase in interest rates/ ne"
business/ e1uity valuation
Readily
Available
LastleM Asset -iability
Management provides earnings
at risk =EaR> analysis in te form
of rate sock analysis, )t
facilitates user to create different
interest rate scenarios to
evaluate its impact on interest
income/ interest e(pense and net
interest income,
Annexure 9.$9% Re4ere Re-o
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
95,9 9,Securities sould not be part
of olding,
Readily
Available
Repo securities do not form te
part of te normal portfolio
:,Accrued interest calculation, Readily
Available
Repo interest calculation is done
in a separate account
A,*eal slip , Readily
Available
Repor *eal Slips are available
5,Settlement, Readily
Available
manual as "ell as Auto Repo
!itdra"al is available
C, )n case of *efault in
settlement/ auto conversion of
Security into relevant Portfolio
on te date of default and not
te 'riginal trade,
Configurable
B, ;aluation Readily
Available
Annexure 9.$?%#id )11ice . Poition Trac*in( and 6imit #ana(ement
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
9C,9 Monitoring of limits suc as8
Counter party limits
Readily
Available
)ssuer limits =E1uity vs *ebt> Readily
Available
*ealer limits Readily
Available
&roker limits Readily
Available
Scrip "ise limits Readily
Available
)nternal limits Readily
Available
Rating limits =Min and Ma(> Readily
Available
)nstrument "ise limits Readily
Available
Stop loss limits Readily
Available
Take profit limits Readily
Available
.roup % Promoter .roup limit Readily
Available
)ndustry -imit etc Readily
Available
Annexure 9.$A% Accountin( Record
Sl No Particulars Readily
Available
Configurable To be
Customized
Remarks
9B,9 .eneration of Cas#&ook%sub#
ledgers%.eneral ledger%Trial
&alance% &alance Seet %Profit
2 -oss account etc
Readily
Available
-edgers/ T&/ P2- statement/
&alance seets/ all are available
as $inancial reports
Securities -edger Readily
Available
Available as Reports, Also
Available as en1uiries
Profitability reports Readily
Available
Available as Reports
Position reports Readily
Available
Available as Reports, Also
Available as en1uiries
$unds position Readily
Available
Available as Reports
E(ception reports Readily
Available
Available as Reports
E(posure reports Readily
Available
Available as Reports
Cas flo" under *irect metod Readily
Available
Available as Reports
$unds flo" statement =$uture
Cas $lo">
Readily
Available
Available as Reports
0olding Statements =Total and
Portfolio "ise>
Readily
Available
Available as Reports, Also
Available as en1uiries
)nstrument "ise ledgers Readily
Available
Available as Reports
&P#"ise 0olding Readily
Available
Available as Reports
+ser defined reports Configurable !e are prosposing a Ard party
report "riting tool "it "ic can
link "it any Ad party report
builder "ere "e can provide
layered data access for
generating ne" reports
)R*A Reports % M)S %
Scedules
Readily
Available
Available as Reports
$ailed *eals etc Readily
Available
Available as Reports
And all oter normal
accounting records
Readily
Available
Available as Reports
Annexure 9.$B% Technical Requirement
Sl No Particular Readil"
A4aila/le
'on1i(ura/le To /e
'utomi0ed
Remar*
9 7nte(ration A--lication
Requirement
9,9 Ability to )ntegrate to Support
'nline / Real Time and &atc
'perations
Readily
Available
9,: )ntegrators Support for
sceduling and defining of
3obs
Readily
Available
9,A Application sould andle
automatic s"itc over in
cluster environment
Readily
Available
3 Data/ae Requirement
:,9 Ability to patc management %
up gradation of database
Readily
Available
*atabase patc upgradation as
to be taken care by customer
)T %*&A team,
:,: Ability to support for pooling
multiple database connections
"en te load on te
application increases
Customisable Can be discussed
:,A Ability of te database to
support clustering, )ndicate
te number of clusters tat
can be configured ,
Readily
Available
*atabase patc upgradation as
to be taken care by customer
)T %*&A team,
:,5 Ability to support online
replication
Readily
Available
*atabase patc upgradation as
to be taken care by customer
)T %*&A team,
:,C Ability to implement SANS for
data storage in te
arcitecture
Readily
Available
*atabase patc upgradation as
to be taken care by customer
)T %*&A team,
8 ;ardEare and )-eratin(
!"tem
A,9 Te 'perating System sould
support *ual Stack Mode
=);P5 and );PB>
Readily
Available
A,: 0ard"are Parameters =like
CP+/ Memory/ 0ard disk >
sould not cross te D6N
utilization levels at any point in
time,
Readily
Available
A,A Sould be able to support
different Protocols =TP%)P/ )PK
etc>
Available TCP%)P supported, Can be
discussed,
A,5 Antivirus soft"are sould be
installed on *C/*R sites and
updated on regular basis
Readily
Available
A,C )mplement patces %upgrades
on all soft"are /firm"are
Readily
Available
A,B 0ard"are e1uipments sould
be scalable to support
increased re1uirements of te
Solution
Readily
Available
A,D 0ard"are sould ave built in
redundancy features suc as
*ual Po"er Supply /*ual
N)C / RA)* etc
Readily
Available
A,E 0ard"are sould ave efficient
ard"are monitoring and
diagnostic functions
Readily
Available
A,4 0ard"are sould be RACL
optimized
Readily
Available
A,9 Te server sould be
orizontal and vertical
scalable
Readily
Available
A,99 Te 0ard"are components
sould be ot s"apable
Readily
Available
9 Bac*u- and Reco4er"
5,9 Te backup success rate
sould be 44,44N at all times
for te )ntegrated Treasury
Solution
Readily
Available
5,: Sould be capable of
automating te backup
process for all te applications
%database in te Primary and
*isaster Site
Readily
Available
Customer as to define te *R
Startgey accordingly
5,A *isaster recovery site to be up
and running :5@D and sould
support online replication
Readily
Available
Customer as to define te *R
Startgey accordingly
5,5 Reliable integrity verification
functionality for backups
Readily
Available
5,C Te solution sould be
compatible "it all types of
backup devices
Readily
Available
5,B Te solution sould support all
backup application soft "ares
Readily
Available
5,D Sould support )P Protocols Readily
Available
5,E Application sould recover and
become fully "itin Recovery
Time 'b3ective =RT'> # 5
0ours Recovery Point
'b3ective =RP'> # : 0ours
Readily
Available
*epends te recovery statergy
tat customer implement
? A4aila/ilit" Parameter
C,9 Sould support load balancing
in terms of systems
parameters =CP+/ 0ard disk/
Memory etc>
Readily
Available
C,: 0ard"are sould be available
:5@D
Readily
Available
C,A Net"ork sould be available
:5@D
Readily
Available
A 7nter1ace
B,9 Te system sould be able to
interface "it te follo"ing/
online and seamlessly "itout
keeping any transaction
pending for processing
Readily
Available
B,: Te solution sould interface
seamlessly "it individual
modules and provide straigt
troug processing, *ata
sould flo" from front office/
mid office and back office and
selected data sould flo" in
te reverse direction,
Readily
Available
B,A Te system sould seamlessly
integrate "it +))COs
Centralized Accounting
System, !itout manual
intervention
Readily
Available
B,5 Te system sould provide
interface capabilities for
RT.S%NE$T/ and oter
treasury applications
Customisabel Can be discussed,
B,C System sould be able to
import rates /deals and%or
prices and rating from
independent price providers
like C'.ENC)S%&loomberg/
NE!S!)RE/Ticker/ $)MM*A/
S0C)-/ CR)S)-/ Capital -ine/
&SE/ NSE/ 0*$C &ank/ MCK
N*S/N*S# 'M/AM$)/
STP/CC)-#C&-' etc = "eb
based applications >
Partial At Present/"e support maula
upload if automation re1uired/it
"ill be customisation and
asumpation tat +)C as
subscription to relevant system
for te price feed and AP) is
available
B,B Te system sould provide
interface "it tird party
service providers for e(ample
SE&) mandated STP for
e1uity market,
Readily
Available
B,D Te system sould provide
interface for te generation of
re1uisite data from treasury
database to oter application%
processes =ASC)) fi(ed
lengt%delimited variable lengt
record format/ CS; format/
E(cel format etc> for oter
process like A-M etc,
Customisable Can be discussed,
B,E -ive data on rate etc sould be
provided on screen only
Readily
Available
B,4 *rill do"n on interface record
sould be available to see
error description
Partial *rill do"n is not available, Can
be incorporated
B,9 Provide support to )S' ECEA/
KM-/ !AP/ SMS etc standard
messaging protocols for
Customisable Can be discussed
interfacing
B,99 Te system sould ave te
ability to rollback a
transactions to a particular
stage and restart / if re1uired,
Partial Ne" record "ill be created
B,9: Provide ability to define
business rules for validation
and translation of incoming
messages
Customisable Can be discussed
B,9A Te application sould ave
te ability to support Microsoft
)nternet E(plorer%Netscape
and oter suc bro"sers = all
latest versions>
Readily
Available
$ornt 'ffice Application
B,95 )nterface "it voice logger to
record deals entered by
dealers
Customisable Can be discussed
B De/ !er4er
D,9 Te application sould ave
te ability to support Apace/
Netscape enterprise/
Commerce server/ Microsoft
))S/ )&M !eb spere etc as
!eb servers
Partial 'nly "e ave MS ))S
D,: Te !eb Server sould ave
te capability of "riting to
multiple logs
Readily
Available
D,A Server sould ave te
capability to support ;irtual
servers
Readily
Available
$'S "ill support
D,5 Sould support net"ork
monitoring agents like SNMP
agent etc
Readily
Available
D,C Sould be able to support
integrated certificate server/
SS- "it 9:E bit encryption
mecanism or more,
Readily
Available
D,B Sould be able to install ob
"indo"s platforms /+N)K
flavors etc ='perating
Systems>
Partial !indo"s supported,
D,D Sould be ardened to disable
unnecessary features and plug
kno"n security vulnerabilities
Readily
Available
C A--lication !er4er
E,9 Te application sould be able
to support 0TM-/*0TM- etc
=markup -anguage>
Readily
Available
E,: Te application sould be able
to support server side
languages like ASP/PSP/
Personal 0ome Page/ Cold
$usion Markup -anguage
=C$M->/ Common .ate !ay
)nterface =C.-> etc
Readily
Available
E,A Client side scripting %
programming languages like
PA;A scripts/ ;& scripts/
PA;A applets / Active K etc
sould be supported
Readily
Available
E,5 Te application sould support
te application layer
tecnologies like PA;A/ C??/
Netscape server applications
process interface/ internet
server application process
interface etc sould be
supported
Partial Pave Script and Netscape Server
E,C *atabase connectivity support
sould at a minimum be
'*&C/ P*&C etc
Readily
Available
E,B Support standard 1ueuing
engines like )&M MQ/ MS MQ
etc
Customisable Can be discussed
E,D Te system sould provide
interface to standard fire "alls
=application pro(y / stateful
inspection and mi( of bot>
Readily
Available
$'S application is available
9 External 7nter1acin(
4,9 $ile formats supported for
message based integration
=KM-/ Te(t/ flat file etc>
Readily
Available
4,: Message formats supported by
application =)SC' ECEA etc>,
Customisable Can be discussed
4,A )ntegration "it a Messaging
Middle"are like MQ Series/
MS MQ/ KM-/ etc,
Customisable Can be discussed
4,5 Support for standard
component frame"orks
=C'M%*C'M%C'M?/ C'&RA
etc,>
Readily
Available
$0 Audit Trail
96,9 Te system sould provide
compreensive audit trail
features suc as8
Readily
Available
96,: *aily activities log are merged
into te istory log files
Readily
Available
96,A *ate/ time and user#stamped
transaction list are generated
for different transactions
Readily
Available
96,5 Transaction screens display
system information including
Processing *ate/ Current
Time/ Current +ser
Readily
Available
96,C *aily activity reports are
provided to igligt all te
transaction being processed
during te day
Readily
Available
96,B Support for recording of
unsuccessful attempts to login
to te system
Readily
Available
96,D System to provide Session log
files, Te user sould be able
to analyze te information
=Account )d/ Session Time/
etc,>
Readily
Available
96,E System sould provide
tracking of ClientOs )P and
Net"ork )nterface Address
Readily
Available
96,4 Te application sould
facilitate definition of user
defined log files for tracking
Sessions,
Readily
Available
96,9 Preservation of 0istorical data
for all Masters and
transactions
Readily
Available
96,99 Maintenance of rating
migrating istory and )R*A
codes
Readily
Available
96,9: System sould ave an audit
trial file management
capability
Readily
Available
96,9A E(ception in reporting in case
of any modified data
Readily
Available
96,95 Te system sould ave ability
to generate a detailed audit
trial on a daily basis for te
follo"ing minimum features8
Readily
Available
96,9C Attempted unautorized login Readily
Available
96,9B Time of -ogin 2 -ogout Readily
Available
96,9D All transaction sould be Time
Stamped "it user id along
"it details of modification/ if
any
Readily
Available
96,9E *etails of database accessed
and modified by te users
Readily
Available
96,94 Te system sould ave te
ability to store and track all
system events/ including
corrections and cancellation
by multiple criteria
Readily
Available
96,: Te system sould allo" deal
amendments only after
creating an audit trial
Readily
Available
96,:9 Auto -ogout 8 Te system
sould be able to logout users
on user defined idle time
Readily
Available
$$ 7n-ut & )ut-ut
99,9 -ink from e(cel and oter
applications
Readily
Available
99,: E(port of reports and in1uiries
into different formats like
!ord/ E(cel/ Pdf/ Te(t 2 CS;
etc,
Readily
Available
$3 A''E!!AB767TF5
A@A76AB67TF A+D T))6!
9:,9 System Availability Readily
Available
)t is dependon on te +ser
module setup,
9:,9,9 Te system sould allo" for
transaction entry/ vie"ing of
positions and M)S reports
Readily
Available
9:,9,: Te system sould be able to
process and report on data in
an online real time mode
Readily
Available
9:,: Maintenance of Trade 0istory Readily
Available
9:,:,9 Te system sould able to
maintain online istory of
trade information of all trades
including trade information on
)R*A approved and
unapproved ,
Readily
Available
9:,:,: All trades migrated from legacy
systems to te ne" one sould
also be maintained
Readily
Available
9:,A C'NC+RRENT +SE 8 Te
system sould able to support
simultaneous use of te
system by multiple users
"itout significant performance
and integrity issues
Readily
Available
9:,5 Scalability 8 Te system sould
be able to increase or
decrease processing
resources as business
Readily
Available
condition dictates/ "itout te
necessity of pre"riting te
codes or undertaking oter
ma3or efforts
9:,C +ser )nterface 8 Te system
sould be able to provide use
friendly design sortcut/ smart
tags and oter productivity
features
Readily
Available
9:,B *ata Arciving 8 Readily
Available
)nternal *&A team as to take
care about te 'racle Server side
9:,B,9 Te system sould be able to
arcive transaction database
records to prevent long term
speed concerns, Arcive data
sould al"ays be available in
te system to stop te user at
all point of time sould be able
to cross to access and print
arcive data
Readily
Available
)nternal *&A team as to take
care about te 'racle Server side
9:,B,: System sould support
arciving of data tat are
beyond a specified time
orizon, Tis sould be
parameterizable
Readily
Available
)nternal *&A team as to take
care about te 'racle Server side
9:,B,A E(port of data to secondary
storage device sould be
supported by te system
Readily
Available
)nternal *&A team as to take
care about te 'racle Server side
9:,B,5 Te system sould support
data retrieval # from te
specified arcives, Te
arcival and retrieval program
sould facilitate easier analysis
of old data,
Readily
Available
)nternal *&A team as to take
care about te 'racle Server side
9:,D *ocumentations8 Readily
Available
9:,D,9 Te system sould be able to
provide intuitive and current
online documentations
covering scope of te
application,
Readily
Available
9:,D,: Te system sould ave te
ability to provide intuitive and
current user manuals,
Readily
Available
9:,D,A 'nline support for te
applications and updated user
manuals sould also be
provided from time to time,
Readily
Available
9:,E ;ie" from te System Readily
Available
9:,E,9 Te system sould allo" for
vie"ing of all data from te
system "ic includes8
Readily
Available
9:,E,: Trade details Readily
Available
9:,E,A Static data=Masters> Readily
Available
9:,E,5 Mark to Market ;alues Readily
Available
9:,E,C Accounting Entries Readily
Available
9:,E,B Current market information 8
E1uity and &ond Rates%values
Readily
Available
9:,E,D 0istorical market information 8
E1uity and &ond Rates%values
Readily
Available
$8 !"tem !ecurit" 2 !"tem
Adminitration
9A,9 System Security $eatures 8 Readily
Available
9A,9,9 System sould provide for
uni1ue identity for eac user
Readily
Available
9A,9,: Te system sould enable
profiling of users and definition
of control level and pass"ords
Readily
Available
9A,9,A Te system sould enable
creation of different access
groups "it different access
control, +ser may belong to
multiple groups
Readily
Available
9A,9,5 Te system sould not allo"
deletion any user id,
Readily
Available
9A,9,C -og on to te systems sould
re1uire users to provide
uni1ue user identity and form
a personal identification ,
E(ample 8Pass"ord
Readily
Available
9A,9,B Standard Pass"ord
Management features sould
include 8
Readily
Available
9A,9,D +))C defined pass"ord e(piry
period
Readily
Available
9A,9,E Pass"ord encryption Readily
Available
9A,9,4 Automatic user disabling after
tree successive erroneous
tries
Readily
Available
9A,9,96 Automatic user time out on
inactivity for a predefined time
duration
Readily
Available
9A,9,99 System administration sould
provide for creation/ deletion
and modifications of users/
agreed users and assigning
data access%modification
Readily
Available
rigts of various user groups
9A,9,9: Access only to designated
users and user setup sould
be centrally controlled troug
a specific administration
modules
Readily
Available
9A,9,9A Auto log out users on user
defined idle time
Readily
Available
9A,9,95 Maker Ceckers concept for all
types of transactions
Readily
Available
9A,9,9C .eneration of detailed audit
trails "it te follo"ing
minimum features8
Readily
Available
9A,9,9B -ist of all users logged on to
te system
Readily
Available
9A,9,9D -ist of attempted unautorized
logins
Readily
Available
9A,9,9E *etails of te data base
access and modified by te
users
Readily
Available
9A,9,94 .eneration of daily audit trails Readily
Available
9A,9,:6 Provide ade1uate back#up and
recovery features
Readily
Available
9A,9,:9 *atabase looking features in
te situation tat tere are
multiple assessors and
updates on te same records
Readily
Available
9A,9,:: After eac unsuccessful log#in
attempt/ te "aiting time until
te ne(t log#in prompt sould
increase,
Readily
Available
9A,: *atabase Security Readily
Available
9A,:,9 Te system sould allo" users
to be controlled =creation/
activation/ deactivation/
deletion etc> by a specific
administrator
Readily
Available
9A,:,: Te system sould permit
access only troug pass"ord
verifications and user )ds
sould be uni1ue,
Readily
Available
9A,:,A Addition of features sould be
allo"ed only troug a
properly revised upgrades and
data migration metods
Readily
Available
9A,:,5 Te system sould ave te
ability to provide or restrict
access privileges based upon
ierarcy and multiple criteria
Readily
Available
9A,:,C Te system sould provide
role based modular access for
front/ middle and back office
tat can be customized,
Readily
Available
9A,:,B Te system sould allo"
setting of eac user profile
"itout any ard coding,
Readily
Available
9A,:,D All databases sould ave
data locking features in te
situation tat tere are
multiple access and updates
on te same records,
Readily
Available
9A,A Pass"ord Management Readily
Available
9A,A,9 Te system sould ave te
ability to force pass"ord
canges every user define
period
Readily
Available
9A,A,: Te system sould ensure tat
te pass"ords are
combination of alpa# numeric
and special caracters
Readily
Available
9A,A,A Te system sould disable
user access after tree failed
login attempts, Access can be
provided again by te System
Administrator
Readily
Available
9A,A,5 Te system sould allo" user
access only troug screens
Readily
Available
9A,A,C No access sould be allo"ed
at database level to users
Readily
Available
9A,A,B Te system sould be able to
facilitate operational security
and be able to restrict access
troug pass"ord at8
Readily
Available
9A,A,D System level Readily
Available
9A,A,E Application level Readily
Available
9A,A,4 Product -evel Readily
Available
9A,A,96 Te system sould be able to
classify autorization by
means of trading rigts
Readily
Available
9A,A,99 Te system sould be able to
facilitate defining autorization
levels
Readily
Available
9A,A,9: Te system sould be able to
restrict back office uses from
front office privileges based on
user profile
Readily
Available
9A,A,9A Te system sould be able to
restrict front office users from
back office privileges based
Readily
Available
on user profile
$9 !e(re(ation o1 Dutie
95,9 Te duties of system
administrators/ security
administrators/ user groups
sould be clearly segregated
Readily
Available
95,: At different level of deals/
different dealers are to be
involved i,e,/ te dealer "o
booked sould not be te
verifier
Readily
Available
95,A Administration of te system
sould be cecked by te
Tec audit
Readily
Available
$? Period end Accountin(
Entrie
Te system sould ave te
ability to calculate interest
accruals
Readily
Available
Te system sould be able to
map accounting events to
general ledger accounts
based on deal parameters
Readily
Available
$A Re-ort
9B,9 Mandatory%Regulatory reports Readily
Available
9B,9,9 E(isting reports and e(isting
formats of all M)S reports
sould be supported by te
system "it provision for Ne"
reports introduced
Readily
Available
9B,9,: Trader !orkstation sould
ave te ability to provide
filtering criteria "ere
necessary
Readily
Available
9B,9,A E(ception and breac reports
sould be generated as and
"en te breac occurs,
Readily
Available
9B,9,5 .eneration of .eneral -edger
balance 2 &alance Seet
Readily
Available
9B,: Report Customization
9B,:,9 Te system sould be able to
generate reports based on all
available data,
Readily
Available
9B,:,: $le(ible report &uilder for
generating simple reports ,Te
system sould ave a report
"riting "izard tat provide
users "it step by step menus
and allo" tem to dra" up
simple reports,
Configurable !e are prosposing a Ard party
report "riting tool "it "ic can
link "it any Ad party report
builder "ere "e can provide
layered data access for
generating ne" reports
9B,:,A Te system sould allo"
reports to be e(ported into
Microsoft E(cel / !ord/ CS;
and te(t format,
Readily
Available
9B,:,5 Te system sould allo"s
users to print reports directly
from te system/ 'ption
sould be available to print
reports in A5%AA%-egal page
using )nk3et%-aser Printer ,Te
default mode for printing of
reports=bulk%volume> sould
be 0ig Speed *MP%-MP
Readily
Available
9B,:,C Te system sould be able to
provide conte(t sensitive elp
to guide users,
Readily
Available
9B,:,B Te system sould allo" for
sorting of data on trader
platform
Customisable Can be discussed,
9B,:,D Te system sould ave te
ability to isolate and report
errors and e(ceptions
Readily
Available
9B,A Report Coverage Readily
Available
9B,A,9 Te system sould ave te
ability to generate an output of
all accounting entries for a
user specified period,
Readily
Available
9B,5 Sceduling of Reports Readily
Available
Reports can be sceduled for
various fre1uncies, Mail
Management service is also
available
9B,5,9 Te system sould allo" for
generation of reports on real
time basis
Readily
Available
9B,5,: Predefined reports sould be
generated "it te minimum of
user interference
Readily
Available
9B,C $re1uency of Reports Readily
Available
Reports can be sceduled for
various fre1uncies, Mail
Management service is also
available
9B,C,9 *aily Readily
Available
9B,C,: $ortNigtly Readily
Available
9B,C,A Montly Readily
Available
9B,C,5 Quarterly Readily
Available
9B,C,C 0alf <early Readily
Available
9B,C,B Annually Readily
Available
9B,C,D Any Cosen Period Readily
Available
9B,B Arciving of reports Readily
Available
9B,B,9 Te system sould arcive
istorical rates e(tracted from
market information system
Readily
Available
9B,B,: Te system sould allo" for
arciving of istorical reports
Readily
Available
$B Tic*etin( %
9D,9 0elp users to elp temselves
by te kno"ledge base/ $AQs
and best practices even
before tey submit tickets,
Readily
Available
9D,: To raise tickets and ceck
statuses
Readily
Available
9D,A Time Tracking Readily
Available
9D,5 Sceduled Reports =*aily/
!eekly/ 0ourly/ etc,> by Email
Readily
Available
9D,C Making sure eac 1uery is
categorized rigt/ prioritized
and assigned to te
concerned person,
Readily
Available
9D,B Automate everyting tat
sould be automated including
setup of S-As =Te priority of
te ticket "ill be rated by te
end user and te ticket issue
sould be solved as per
service level agreement> #
rigt from dispatcing tickets/
to closure,
Customisabel Can be discussed
$C Rule En(ine 2
Parameteri0ation
9E,9 Able to add or cange
business logic = fle(ible to
cange>
Readily
Available
9E,: te ability to 1uickly implement
te modifications to business
Readily
Available
rules
9E,A parameter driven system Readily
Available