Product

Family:

Treasury/Privat
e Operations

Product
Requirements
Requirements

Name of the
1 Product
2 Line of Business
3 Department
Balance Sheet
4 Classification
5 Brief Description
6
6.1
6.1.1
6.1.2
6.1.3
6.1.4
6.2
6.3
6.4
6.5
6.6

Business
Requirements
Limit Fixing
Dealer
Customer
Broker
Counter-Party
Trading Units
( For each
security)
Settlement Actual /
Contractual
Transaction
settlement Manual / Swift
Currency
Charges,
Commissions &
Fees

Relation/Depende
ncy to/on other
Products/Service/I
6.7 nterface
6.8 Taxation/VAT
Risks Identified
and Control
6.9 mechanism

Debentures
Treasury
Securities
Asset/Liability
debt instrument issued by different
private and govt. body
SLR/Liquidity Mgmt
nil
YES
YES
YES
YES
depends on issuer
Actual
Manual
BDT
YES

NIL
YES

Clarifications

6.9.1 Risks Identified

Control
6.9.2 requirements
Verification
6.9.3 requirements
6.10 Roles involved

6.10.1
6.10.2
6.10.3

6.10.4

Roles that are

allowed to only
input/create/oper
ate/modify
Roles that are
Allowed to verify
and authorize
Roles that are
allowed to only
view
Roles that are
allowed to view
all verification
requirements

History & archival

6.11 requirements
Type of Customer
(Domestic Individual/
Institution /NonResident/ Foreign
6.12 Institution)/In
Own Book / Client
6.13 Book
Margin Trading
6.14 (Y/N)
7 Amortization
7.1 Frequency
8 Revaluation
Frequency

Process
Require
ments

PROCESS
REQUIREMENTS

Busines
s
Process

Activities

Purchase

Front office has the authority to input

and create.No modification is
permitted once the deal is moved to
back office.
Front office
Once the deal is authorized the front
officer user can only view.

Back office user

Required

ALL
Own Book
NO
NO
NA
NO
NA

Roles
Receipt of order
from clients

need
clarification

Front office

Accountin
g Entries

Check Balance
available
Block Margin

Front office
no

Enter Order /
Pass on to Broker

Front office

Receipt of Trade
confirmations
Reconcile / check
Execution of
Order
Send
confirmation to
client
Debit client
account
Security
Settlement
Advise depository
Recover charges /
Tax
Transaction
Creation
Sale

Receipt of order
from clients
Check security
availability
Enter Order /
Pass on to Broker

Modificati
on of

Receipt of Trade
confirmations
Reconcile / check
Execution of
Order
Send
confirmation to
client
Security
Settlement
Credit client
account
Advise depository
Recover charges /
Tax
Transaction
Creation
Check order
execution

Back office
Back office
Back office
Back office
Back office
Back office
Back office
Back office
Back office
Front office
Front office
Front office
Back office
Back office
Back office
Back office
Back office
Back office
Back office
Back office
Back office
Front office

Order
Modify order

Reverse
Order

Other activities
as in PUR/SAL
Recover charges
Check order
execution
Reverse Order
Recover charges

Back office
Back office
Front office
Back office
Front office
Front office