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1. Which field in SECURITY.MASTER indicates whether it is a Bond or Share?

BOND.OR.SHARE

2. If NO.OF.PAYMENTS in SECURITY.MASTER is 4 then what does that mean?

Specifies the number of coupon or interest payments 4 TIMES a year.

3. How many types of Bonds are there? i.e. What are the PRICE.TYPES inputted in our
Demo system for Bonds?

4. For what type of SECURITY.MASTER you should not leave INT.PAYMENT.DATE and
ACCRUAL.START.DATE are mandatory fields?

i.e. When will it become mandatory.

Above fields become mandatory when the SECURITY.MASTER is declared as "BOND"

5. Which field in SECURITY.MASTER indicates the Market price of the Share?


"LAST.PRICE"

6. Name any two parameter / files which needs to be setup before inputting any
SEC.ACC.MASTER for a Customer portfolio? "CUSTOMER & HIS ACCOUNT"

7. Which field indicates the portfolio is a bank's own book portfolio? -


"DEALER.BOOK"

8. Whether the necessary ACCOUNT should exist for a Dealer book portfolio for
inputting a Bank's own book SEC.ACC.MASTER record.? - NO

i.e Whether ACCOUNT.NOS field is mandatory for Dealer Book portfolio? And state the
reason? No, because Dealer Boook Portfolio will use NOSTRO accounts for trading.

9. From where does the field SAFECUSTODY.FREQ and ADVISOR.FREQ gets udpated in
general. i.e. From which application is defaulted? SAFECUSTODY.VALUES.

10. What is the highest level parameter file for Securities module? "SC.PARAMETER"

11. Where do you set the Actual or Contractual Settlement for a trade? i.e. In
which application? "SC.PARAMETER"

12. Name any two fields in SEC.TRADE / SECURITY.TRANSFER that is related to Actual
Settlement?
"CASH.HOLD.SETTLE & SEC.HOLD.SETTLE"

13. How do you identify based on which parameter the Securities module has been
setup for settlement dated or trade dated? i.e which application
fields?"RECALC.COST in SC.PARAMETER" IN R06

Please mention in R04 as well as in R06

14. What are the values entered for the field ORDER.TYPE in ORDER.BY.CUST
application?
"PURCHASE, SELL, CASH & SWITCH"

15. Whether SECURITY.POSITION updated after authorising ORDER.BY.CUST alone? - "NO"

16. Whether any accounting entries raised after authorising ORDER.BY.CUST alone?
"NO"
17. What are the two applications which has same ids for its corresponding records.

Hint : If you authorise a record in one application with an id then it generates a


record in IHLD in another application with same ID. What are they?

18. What are the values which can be entered for ORDER.TYPE in SEC.OPEN.ORDER?

19. Whether SEC.OPEN.ORDER(SOO) can be inputted without BROKER.NO?

20. If I would like to generate SC.EXEC.ORDERS after authorising SOO, then which
field and what value in that field generates SOO?

Hint : Without this field value, SC.EXE.SEC.ORDERS will not be generated generally
unless it is parameter as such.

21. If I would like to generate a SEC.TRADE directly after authorising


SEC.OPEN.ORDER then which fiel in SOO should have what value?

22. Whether any accounting entries generated after authorising SEC.OPEN.ORDER which
has corresponding SC.EXE.SEC.ORDERS which got already generated?

23. When will the FBNK.ENTRY.HOLD AND FBNK.FWD.ENTRY.HOLD updated for a SEC.TRADE.
At what stage it will be deleted?

24. How will you excute a partial order? Please provide the steps.

25. When will this message "CHARGES AND COMMISSIONS ARE TO BE RECALCULATED"
prompted for you in SEC.TRADE?

26. If the field INTEREST.DAYS contains the value 90 then how this is calculated.
i.e. From which date to which date this is calculated?

27. Whether the SECURITY.POSITION field updated for an INAU SEC.TRADE?

28. How do you find out the SEC.TRADE is generated through SEC.OPEN.ORDER?

29. There is a buy side and sell side in a SEC.TRADE but is doesn't contain
BROKER.NO field value and its associated multi values. whether it can go through.
What type of trade it is between?

30. Which parameter file you need to setup for the calculation and default of
CU.COMMISSION field in SEC.TRADE?

31. How will you generate the override message "ACCOUNT CCY FOR SEC.ACC 1023-1 NOT
THE SAME AS TRADE.CCY"?

32. Whether the system allows to amend the BROKER.NO field in SEC.TRADE after its
authorisation?

33. In what case the REVERSAL.DATE and DATE.UPDATED of SECURITY.TRANS contain


values for a SEC.TRADE?

34. In what case the REVERSAL.DATE alone is udpated for a SEC.TRADE in


SEDCURITY.TRANS?

35. Where do you find the Closing security position for a CUSTOMER PORTFOLIO and
DEALER BOOK PORTFOLIO after SEC.TRADE authorisation? In which application?
36. How many SECURITY.TRANS records generated for a SEC.TRADE which contains one
customer and one broker (assume non US settle method)?

38. What is the id format for SC.TRADE.POS.HISTORY?

39. What is the id format for SECURITY.POSITION? Atleast provide example.

40. How do you identify whether it is an ACTUAL settlement trade?

41. How do you generate a record in SC.SETTLEMENT? Provide steps

42. Whether system allows future date for the field TRADE.DATE. i.e. Entering
tomorrow's date in TRADE.DATE field.

43. What is the common important SC module routine which udpates SECURITY.POSITION?

44. Why you get an error "CREDIT NOMINALS NOT EQUAL DEBIT NOMINALS" While
committing the SEC.TRADE? How to rectify it?

45. At what stage accounting entries raised for a SEC.TRADE?

46. Name all the SC related batch processes? Try to name more than one.

47. Whether multiple customers can be inputted in SECURITY.TRANSFER?

48. (a) What type of SECURITY.TRANSFERs won't generate Accounting entries? i.e.
what is the field and what value to be inputted for not to raise accounting entries

for a SECURITY.TRANSFER? [answer any one of the (a) or (b)]

(or)

48. (b) What is the batch job as well as the enquiry which udpates SC.POS.ASSET?
[answer any one of the (a) or (b)]

49. What is the application which transfers all the security positions from one
depository to another depository?

POSITION.TRANSFER

50. What are the highest level parameters for MF module, DX module, AM module?