AyersBOS Terminal User Manual By Ayers Solutions Limited · AyersBOS User Manual (Terminal) v1.12.1...

AyersBOS User Manual (Terminal) v1.12.1

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AyersBOS

Terminal

User Manual

By

Ayers Solutions Limited


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Amendment History

Version Date Details

V1.9.3 08-Jul-09 Initial copy

V1.9.8 8-Feb-10 Update

V1.11.2 2-Sep-11 Update

V1.12.1 3-Jan-13 Update


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Contents 1 Introduction ........................................................................................ 6 2 About Ayers BOS .............................................................................. 7 3 Getting Started .................................................................................. 8

3.1 Login ........................................................................................... 8 3.2 Change Password ...................................................................... 9 3.3 Logout ........................................................................................ 9

4 User Interface .................................................................................. 10 4.1 Main Menu ................................................................................ 10 4.2 Common Icons ......................................................................... 10 4.3 Save the Desktop Layout ......................................................... 11 4.4 Load the Saved Desktop Layout .............................................. 12 4.5 Clear the Saved Desktop Layout .............................................. 12 4.6 Send Today News .................................................................... 13 4.7 Show Today News.................................................................... 13 4.8 Force User to Logout ................................................................ 14

5 Suggest Daily Work Flow ................................................................. 15 6 Setup ............................................................................................... 16

6.1 System Setting ......................................................................... 16 6.1.1 Setting 1 ............................................................................ 16 6.1.2 Setting 2 ............................................................................ 17 6.1.3 Setting 3 ............................................................................ 22

6.2 Maker Checker Approval .......................................................... 24 6.3 Setup Password Policy ............................................................. 27 6.4 Formula .................................................................................... 29 6.5 Currency ................................................................................... 31 6.6 Bank ......................................................................................... 33 6.7 Currency Interest, Bank a/c ...................................................... 34 6.8 Document ................................................................................. 36 6.9 Document Group ...................................................................... 38 6.10 User Group ............................................................................... 39 6.11 Create Users ............................................................................ 41 6.12 Reset User Password ............................................................... 44 6.13 Create AE Group ...................................................................... 45 6.14 Create AE ................................................................................. 46 6.15 Broker ....................................................................................... 47 6.16 Custodian ................................................................................. 49 6.17 Market ...................................................................................... 51

6.17.1 Market Charges ................................................................. 51 6.17.2 Product Group ................................................................... 52 6.17.3 Corporate Action Fee ........................................................ 53 6.17.4 Corporate Action Type ...................................................... 54 6.17.5 Information ........................................................................ 56 6.17.6 Holiday .............................................................................. 57

6.18 Product Price Spread Table ..................................................... 58 6.19 Product ..................................................................................... 59

6.19.1 Market Charges ................................................................. 60


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6.19.2 Remark .............................................................................. 61 6.19.3 Other Information .............................................................. 62 6.19.4 Monthly Statistic ................................................................ 63

6.20 FRR Grade ............................................................................... 64 6.21 Corporate Action....................................................................... 65 6.22 Client Account Type ................................................................. 67 6.23 Client Group ............................................................................. 68 6.24 Client ........................................................................................ 69

6.24.1 Information ........................................................................ 71 6.24.2 Account ............................................................................. 73 6.24.3 Other Contact .................................................................... 74 6.24.4 Remark .............................................................................. 75 6.24.5 Commission....................................................................... 77 6.24.6 Interest .............................................................................. 78 6.24.7 Document .......................................................................... 79 6.24.8 Custodian Account ............................................................ 79 6.24.9 Market Charges ................................................................. 80 6.24.10 Payee ................................................................................ 81 6.24.11 Other AE ........................................................................... 82 6.24.12 Bank Sub Account ............................................................. 83

6.25 Report Job Item ........................................................................ 84 6.26 Report Viewer ........................................................................... 87 6.27 Batch Interface File – Import .................................................... 88 6.28 Batch Interface File – Export .................................................... 90 6.29 System Backup ........................................................................ 91 6.30 Perform Day End ...................................................................... 92 6.31 E-Statement Generation ........................................................... 94

7 Input................................................................................................. 95 7.1 Client Trade .............................................................................. 95 7.2 Upload Client Trades Generation ............................................. 97 7.3 Confirm/ Cancel Client Trades ................................................. 97 7.4 Client Fund Deposit .................................................................. 98 7.5 Client Fund Withdrawal ............................................................ 99 7.6 Confirm / Cancel Client Fund In / Out ..................................... 100 7.7 Client Fund FX Transfer ......................................................... 101 7.8 Client OnHold Fund ................................................................ 103 7.9 Withdraw Client OnHold Fund ................................................ 103 7.10 Generate Draft Cheque .......................................................... 104 7.11 Draft Cheque .......................................................................... 105 7.12 Print Draft Cheque .................................................................. 106 7.13 Post Draft Cheque .................................................................. 107 7.14 Generate Payment ................................................................. 107 7.15 Print Cheque .......................................................................... 108 7.16 Generate Custodian Fee ........................................................ 109 7.17 Client Product Deposit ............................................................ 109 7.18 Client Product Withdrawal ...................................................... 111 7.19 Confirm/ Cancel Client Product In/ Out ................................... 112 7.20 Client Onhold Product ............................................................ 113


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7.21 Withdraw Client Onhold Product ............................................ 114 7.22 Client Product Internal Transfer .............................................. 114 7.23 Remove Expired Product Balance .......................................... 115 7.24 ISI and SI ................................................................................ 116

7.24.1 Investor Settlement Instruction ........................................ 116 7.24.2 Settlement Instruction ...................................................... 123

7.25 Corporate Action Processing .................................................. 133 7.26 IPO ......................................................................................... 136

7.26.1 Info .................................................................................. 136 7.26.2 Quantity/ Amount Table ................................................... 137 7.26.3 Application ....................................................................... 138 7.26.4 Result .............................................................................. 139

7.27 Accrued Interest ..................................................................... 140 7.28 Accrued Interest Posting ........................................................ 140 7.29 Broker Trade .......................................................................... 141

8 Enquiry .......................................................................................... 143 8.1 Client Enquiry ......................................................................... 143 8.2 Product Enquiry ...................................................................... 144 8.3 Client Transaction Report ....................................................... 145

9 Report ............................................................................................ 146 9.1 Generate a Report .................................................................. 146

9.1.1 Print a Report .................................................................. 147 9.1.2 Copy Texts ...................................................................... 148 9.1.3 Search Texts ................................................................... 149 9.1.4 Zoom in/Zoom out ........................................................... 149 9.1.5 Export a Report ............................................................... 150

9.2 Open an Existing Report ........................................................ 151 9.3 AyersBOS provide the following reports for referencing, printing and saving the report as a file. .............................................................. 152


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1 Introduction This User Guide provides a step-by-step instruction on how to use the Ayers Back Office System (“AyersBOS”). AyersBOS consists the following user-friendly Graphics User Interface (GUI) functional modules to perform settlement tasks in an effective and efficient way: • Setup • Input • Enquiry • Report • Settings • Exit


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2 About Ayers BOS Ayers BOS is a clearing and settlement accounting system with comprehensive Back-office functions which can facilitate efficient and effective workflow in the entire trading logistic by being ready to interface with any Front-office systems. Designed with the most advanced technology, Ayers BOS is scalable to suit from small to large brokerage houses as well as international firms.


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3 Getting Started

3.1 Login (a) Switch on computer (b) Double click the “AyersBOS” icon, the login screen will be shown.

(c) Enter server IP and port no. Type in User Code and User Password, select

language and click “Login“; or click “Exit” to leave the system. (d) If this is the first time that you login to the system, you may be requested to

change your password (as shown in the following screen).

(e) Input New Password, retype to confirm, then click the “OK” button. The system

will change your password with immediate effect.


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(f) After Login, the main window will appear (as below).

3.2 Change Password To change password, click “Setting → Change User Password”.

Input New Password, retype to confirm, then click the “OK” button. The system will change your password with immediate effect.

3.3 Logout To log out from AyersBOS, click the “Exit” button on the Main Window menu Note: If you have any difficulties logging on AyersBOS, please consult your administrator.


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4 User Interface

4.1 Main Menu The AyersBOS Main Menu consists of a set of global functions which are available to the entire AyersBOS workspace. The Main Menu has the following items:

Menu Description

Setup Configure/Setup AyersBOS

Input Client’s deposit/withdrawal and IPO functions

Enquiry Enquire client and product information

Report Print and save reports

Settings Configure desktop settings, change password

Exit Exit the system

4.2 Common Icons AyersBOS uses a set of function icons consistently throughout the entire system. The graphic representation and the respective meaning for each of them are listed below:

Icon Description

Exit the current window

Clear the current fields/ add new record

Open an existing record to edit

Save current record

Delete current record

Upload file

Enquiry

Edit

Recalculate

Print

Cancel


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4.3 Save the Desktop Layout All the window sizes and positions can be easily adjusted. User can open multiple windows at the same time. User can save the current desktop layout by clicking the menu item “Settings → Save Desktop Settings”. “Default” – the layout auto loaded upon every login “Desktop Profile Code” – Client may save multiple profile codes by entering the desired code on the blank space.

Click “OK”.

The “Saved Successfully” message will be shown.


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4.4 Load the Saved Desktop Layout Every time user logging into AyersBOS, the last saved “Default” desktop layout will be automatically restored. Users may restore it at any time by clicking the menu item “Settings → Load Desktop Settings”. Choose “Yes” when system prompts “Are you sure to load old settings?” Select the desired desktop to load, then click “OK”.

The saved desktop setting will be loaded.

4.5 Clear the Saved Desktop Layout In order to clear the saved desktop layout, click the menu item “Settings → Clear Desktop Settings”. Select the layout to be cleared, and then click “OK”.

The “Saved Desktop Settings are Cleared” message will be shown.


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4.6 Send Today News To send today news to AyersBOS users, click menu “Setting → Send Today News”, input subject and content, then click “Save”. If the message is only send to a particular User/User Group, click on tab “Send to”, choose the User/User Group to add in. When finished, click “Save”. If needed to delete inputted news, click on tab “Delete Today News”, highlight the item, then press “Delete”.

4.7 Show Today News Click menu “Setting → Show Today News“.


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4.8 Force User to Logout To force a user to logout the system, click “Settings → Force Logout User”

Select the User you want to force logout, then click “Force Logout” button.


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5 Suggest Daily Work Flow Suggest daily work flow as follow:

Time Task Description

After market close 1. Batch Interface File Import/ Export

Import trade records to AyersBOS.

After market close 2. Upload Client Trades Generation

Upload Client Trades to AyersBOS

After market close 3. System Backup Perform Backup

After market close

4. Client Fund Deposit/ Withdrawal, Product Deposit/ Withdrawal

Check and make sure all Client Fund Deposit/ Withdrawal, Product Deposit/ Withdrawal records have been entered

After market close 5. Client Trades Check and make sure all Client Trades have been entered

After market close 6. Perform Day End Perform Day End

After market close 7. Report Job Item Print and save reports

After market close 8. E-Statement Generation

Generate E-Statements to Clients

After market close 9. Batch Interface File Import/ Export

Export AyersBOS files to front office

Before next trading day

10. Import CCASS Files to AyersBOS

Download IPO，Corporate Action，

Entitlement，CCASS Stock Bal from

CCASS and import to AyersBOS


11. Run Report：

Product Location Balance Matching

Run Report ： Product Location

Balance Matching to check Product Balance with CCASS


12. Change Next Business Day

Change to Next Business Day when the above work completed.

Before next trading day (AM)

13. Export ATI File

Export ATI(File 1) to CCASS If ATI 2 was not exported in the afternoon, then on the following day ATI 1 will also include the contents of previous day of ATI 2

After next trading day (PM)

14. Export ATI File Export ATI(File 2) to CCASS

Note: Change Next Business Day is not reversible. Please contact us to restore

backup if necessary.


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6 Setup

6.1 System Setting Click “Setup → System Setting” menu item. 6.1.1 Setting 1

Setting Description

Display Today's News On Login

Check this box if you want to show "Today's News" window every time after user login.

Load Desktop Setting On Login

Check this box if you want to restore the saved desktop layout every time after user login.

Company Name The company title will be shown in every report.

Email For any email send from AyersBOS will use this email address as sender address.

Phone No. Company phone number

Show This Message After Login

Message type in here will be shown after login.

Function Key Set shortcut keys for common function icons.

Click the “Save” icon to save the modified setting.


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6.1.2 Setting 2

User can set which checking to be ignored while performing “Day End”. Check Short Sell – Check clients’ short sell while performing day end. Trade Matching – Check whether client trades match with broker trades or not.


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Statement Remark – Click the button and input the message in the box. Different languages of messages can be input using different language tabs accordingly.

Click the “Save” icon to save the modified setting. The message type in the box will be shown at the bottom of the statement (as below):


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Daily Statement Remark – Click the button and input the message in the box. Different languages of messages can be input using different language tabs accordingly.

Click the “Save” icon to save the modified setting. The message type in the box will be shown at the bottom of the statement.


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Monthly Statement Remark – Click the button and input the message in the box. Different languages of messages can be input using different language tabs accordingly.



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Email Statement Remark – Click the button and input the message in the box. Different languages of messages can be input using different language tabs accordingly.



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6.1.3 Setting 3

Setting Description

Business Date Show system date and the following dates of T+1,

and T+2.

Statement Delivery Default way of receiving statement

Day End Performed? Day End status. Y = performed, N = Not yet perform.

Last Daily Statement Seq. No.

Last daily statement sequence number. (see below screen) Please contact Ayers if needs to reset to 0.

Last Monthly Statement Seq.

No.

Last monthly statement sequence number. Please

contact Ayers if needs to reset to 0.

Non-CCASS Product

Custodian A/C

Preload Product Data When Login to save the data

retrieval time. Note that if this box is checked, the

system will not update Product’s data instantly if

changes have been made.

All Emails BCC To All the emails sent out from the AyersBOS will bcc

to this email address.

Statement Trade Remark

Message type in this box will show at the bottom of the Daily Trades session of the statement. (see below screen)


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Statement Trade Remark – Click the button and input the message in the box. Different languages of messages can be input using different language tabs accordingly.



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6.2 Maker Checker Approval Click the "Setup → Maker Checker Approval" menu item.

If user would like to change any client’s information in the “Setup → Client” function, the change must be approved by credit officers before the change can be adopted.

Click to approve in the “Setup -> Maker Checker Approval” function. (As below screen.


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Click to cancel in the “Setup -> Maker Checker Approval” function. (As below screen.

Click to show the history of change（As below screen）

If the changed details have not been approved and user would like to change other details, an error message will be prompted as below. All the previous changes should be approved before editing other client’s details.


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Click button to show the edited client details（As below screen）


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6.3 Setup Password Policy Click the "Setup → Password Policy" menu item. Ayers BOS only has one password policy：

Default - Ayers BOS is the policy of the workstation.

Select the needed modifications (below is a summary table explaining various settings).


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Settings Description

Minimum Length Minimum Length

Maximum Length Maximum Length

Maximum Failure Count The maximum count of failed login, otherwise the user account will be locked and could not login.

Minimum Numeric Digit Length

Minimum Numeric Digit within the password

Max. Inactive Day The longest number of days that the user did not login, otherwise the user account will be locked and could not login.

Password History Size Times allow to use the old password when entering/ changing new password

Change Password Alert Day Alert User to change password after the day count

Password Expiry Day Password will expired after the day count

Force User Change Password On Next Login

Check this box will force user to change password on next login

Force User Change Password When Alert

Check this box will force user to change password when alert

Force User Compose Password By at least 1 Special Character, 1 Upper Case Letter and a 1 Numeric Digit.

When setting this function, the setup password should include Special Character, Upper Case Letter and a Numeric Digit.



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6.4 Formula Click the "Setup → Formula" menu item. Formulae are used for calculating different types of charges, commissions, credit/ debit interest rates etc.

System default types of formula:

Click the “Open” icon to search for preset formulae.


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The formula uses Microsoft Excel’s logical functions to define. User can create new formulae by typing in new Code, Name, Type and the formula details. Click “Test Formula” to check whether the formula gives desired result or not.


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6.5 Currency Click the “Setup → Currency” menu item.

Define system’s base currency and its exchange rate. By system default, there are 6 types of currencies:

Canadian Dollars

Euro

British Pounds

Hong Kong Dollars

Japan Yen

U.S. Dollars


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To add more currency, click on the empty space in “Currency Code” column.

Enter the “Currency Code”, “Name” and its “Exchange Rate”. Select one currency to be the base currency. Click the “Save” icon to save the modified setting. Note: The Exchange Rate, Bid Rate and Ask Rate are only for your reference only. In real trade, the user should input Exchange Rate directly.


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6.6 Bank Click the “Setup → Bank” menu item. Input Bank’s code and name, then click “Add”, choose Currency, and input Bank a/c and Name, Deposit or Payment use.

The bank can then be selected in “Setup → Client”.


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6.7 Currency Interest, Bank a/c Click “Setup → Currency Interest, Bank a/c”

Select formula from the drop down menu to setup default debit/ credit interest rate for that currency. Select default deposit/ payment bank a/c. This setting will reflect in “Input → Client Fund Deposit and Client Fund Withdrawal. (See picture on next page) Enter the prime rate and saving rate of that currency.


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Click the “Save” icon to save any modified settings.


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6.8 Document Click “Setup → Document” menu item. Enter the document code, name and expiry day. Document will need to collect again after expiry day

Click the “Save” icon to save the modified setting. The created document can then be selected in “Setup → Client”

Click “Add” to choose document.


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Click “OK” then “Save” icon to save the modified setting. To check which client documents had expired and received/ not yet received documents. Go to “Report → Master Setup Reports → Outstanding/Expired Client Document Listing” menu item.

Click “Run Report”.


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6.9 Document Group Click “Setup → Document Group” menu item. Document Group is used to group the documents together. Assign the document group to client would save you from repeating adding the document.

In “Setup → Client” Click “Add Document Group”

Click “Save” icon to save the modified setting.


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6.10 User Group User can be assigned to one or more user groups. Each user group may have different functions’ access right. e.g. User Group U1 can access functions F1 and F2, User Group U2 can access functions F2, F3, F4. A member of User Group U1 will have access for functions F1 and F2. A member of both User Groups U1 and U2 will have access for functions F1, F2, F3 and F4. To create a user group, click “Setup → User Group” menu item.

Click “Add User” to add desired user into the user group or “Delete User” to delete the selected users in the grid.


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To specify the user access right of the user group, switch to the “Group Access Right” tab page.

To let a user group to access all functions, check the “Access All Functions” box, or you can define the access scope by tick/un-tick the function’s access right box. Click the “Save” icon to save the modified settings.


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6.11 Create Users Click the “Setup → User” menu item.

On “Belong To User Group” click “Add User Group” to assign users to be member of particular user groups. Click “Delete User Group” to remove users from particular user group.


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After checking the box of Disable Report Save Function and Disable Report Print Function, user can only read the reports but could not print nor save reports. This could protect the privacy of the clients. If user needs to use this function, please contact Ayers Customer Support hotline.


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To add/remove function access right of the user, switch to “User Access Right” tab page.

Select required functions. Click the “Save” icon to save the modified settings. The total user rights = user group access rights + user access rights


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6.12 Reset User Password Click the “Setup → Reset User Password” menu item. Input the user code of that user. If a user account was locked due to entering incorrect passwords too many times,

click the icon to reset password. The user can then use the old password to login.


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6.13 Create AE Group An AE has to be a member of an AE group. To create an AE group, click “Setup → AE group” menu item. Enter “AE Group Code, Name and Address”. Click the “Save” icon to save changes.

The “Address” will be shown in the statement if clients are under that AE in that AE Group.

To assign an AE to the AE Group, click “Setup → AE” select “AE Group from the drop down menu. Click the “Save” icon to save the modified settings.


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6.14 Create AE Click “Setup → AE” menu item.

Type in “AE Code”, “Name”, “Status”, “AE Group Code” and “Commission”. Commission: The AE Rebate from the client’s commission charges. After selected this AE Commission formula, AEs will collect that AE commission charges. Commission (Accumulated): To calculate the AE Rebate for the whole month. If user needs this function, please contact Ayers Customer Support hotline. Click the “Save” icon to save the modified setting.


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6.15 Broker Click the “Setup → Broker” menu item. If the oversea equities are traded from another broker then that broker information is required to fill in.

Enter the broker information, its trading market, commission fees and broker code.


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The “Default Commission” is used to calculate the Broker Cost of a transaction. “Product Group” is used to calculate the Broker Cost of the products belong to the specified group. “Custodian A/C” is used to locate the default custodian to be transferred to and from CCASS. The “Ack. Method”, “Dealing Cut-off time” and “Broker Code” are for reference use only. Click the “Save” icon to save the modified setting.


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6.16 Custodian Click the “Setup → Custodian” menu item.

Enter the custodian information. On the “Custodian a/c” tab, click “Add” to add the account and type in its name.


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On the “Market” tab, click “Add” to add its trading market and its monthly custody fee. Click the “Save” icon to save the modified setting. If user needs to collect custodian fee from clients, user can collect fee from the “Input -> Generate Custodian fee” function.


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6.17 Market Click the “Setup → Market” menu item. Type in the market information: Settlement day – T+?, Default Custodian a/c and Default Commission. The default commission fees will be charged according to the selected formula for all trades that placed through that market. Client/Broker Trade Matching Mode: When performing Day End, user can do the trade matching by different mode. Margin Calculation Mode (For Future use only)

6.17.1 Market Charges

First, please check whether “CHRG – Trade Market Charge” formula had been setup. Then click “Add” and type in the charges code, name and formula. To modify the charges, double click on the record.


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To waive a charge, check the box “Waived?” click “OK” and then “Save”. Click the “Save” icon to save the modified setting. 6.17.2 Product Group

Click “Add” to add market product information. (For Futures use)


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6.17.3 Corporate Action Fee

Add the “Corporate Action Fee” for that market.

Before adding corporate action fee, please select a “CORP – Corporate Action Charge” type formula that had been setup for that charge. Click “Add” and type in the charge code, name and formula. The added fees can then be selected when adding corporate action type. (See 6.15.3) To modify the charges, double click on the record.

Click “OK” and then “Save” to save the modified setting.


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6.17.4 Corporate Action Type

Add Corporate Action Type for that market.

Click “Add” to add corporation type or double click on existing record to modify.

The charges for Corporate Actions are to set in “Corporate Action Fee” (details please refer to Section 6.15.3). Once setup, you may select here (as shown above). Click “OK” and then “Save” to save the modified setting.

Corporate action fees that were added in 6.15.3


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The added corporate action type and its fees will be shown in “Setup → Corporate Action” menu item.


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6.17.5 Information

Enter the market information, as well as the Member ID, Member Other Info, and Stamp Duty File No. (These three information will be shown in the HK Stamp(Daily Return) Report). Click the “Save” icon to save the modified setting.


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6.17.6 Holiday

Click “Add” to add holidays for that market. Check the box “Trade Day Only?” if it is half-day trading day. (E.g. 24 December, 31 December) “Determine Company Working Day” is used to determine if system day also the working day of that market. E.g. Today is holiday for HKEx market, but it is not for Taiwan. Therefore having “Determine Company Working Day” ticked in Taiwan market, when change business day, it will not skip that day and that day would still be a trading day. To view holiday list, go to “Report → Master Setup Reports → Holiday Listings” menu item.



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6.18 Product Price Spread Table

Click the “Setup → Product Price Spread Table” menu item.

Different trading markets have different price spread tables. To create a price spread table, type in the product price spread code and click “Add”. Fill in the price and price step, then click the “Save” icon to save the modified setting.


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6.19 Product Click “Setup → Product” menu item.

Most of the information of this function can be uploaded from the AyersGTS, so manual input of the product information is not required. Enter the market code, name, lot size, nominal, previous close and loan % of the product. Select status, currency, price spread code, type and last active day (if required) from the drop down menu. [Expiry day applies to warrants only.] When there is a new IPO, please check the IPO stock code with the existing product code. If the existing product information is incorrect, delete the old record and create a new one. The listing date is use to prevent new IPO product information being overwritten by the old product information. The new IPO information remains unchanged before the listing date. After filling in all the information, click “Save” to save the modified setting.


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Click “Add” to add charges for trading this product. If not set, it will follow the charges set in “Market”. Click the “Save” icon to save the modified setting.

If user did not input any settings in this function, the system will collect the market charges according to the formulae in the Market function.


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6.19.2 Remark

Click “Add” and select remark for reference use.



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6.19.3 Other Information

Check the boxes “Stamp Duty” & “CCASS Product” if applicable to the product. The FRR Grade from the drop down menu can be set in the “Setup → FRR Grade” menu item. (See 6.18) The “Funds” section is used for funds product. There are four default codes for overseas use:

ISIN

BLOOMBERG

REUTERS

S&P Code User can input these product codes for global trading use.

FRR Grade can be set in the “Setup -＞ FRR Grade” function. Match the products to

the corresponding FRR Grade here. Click the “Save” icon to save the modified setting.


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6.19.4 Monthly Statistic

User can view the monthly closing price, number of issued shares and the turnover of the product. (Require purchase from HKEx) The monthly statistics data file can be import in "Setup → Batch Interface File Import/ Export.” Click “Add” to modify the information.


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6.20 FRR Grade Click “Setup → FRR Grade” menu item.

Enter the code, name and haircut % of the FRR grade. Click “Add” to add product and then “Save” to save the modified setting.


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6.21 Corporate Action Click the “Setup → Corporate Action” menu item.

Download Corporate Action from CCASS and import to AyersBOS in “Setup → Batch Interface Import/ Export”. Click “Open” to search for the corporate action; below are a glossary explaining various fields on the “Corporation Action” page. Last Register Date – Under the T+2 settlement basis, clients must have purchased

the shares two days before the last register date to qualify for entitlement to the declared dividend.

Book Close Date – Usually one or two days after the Last Register Date. The book

close date is the day on which clients are registered as owners of the stock to receive the dividend.

Estimated Payable Date – The estimated payable date is the day on which client

receive dividend.


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User can select the type of Corporate Action as “Default”, “Optional” and “Script Fee”. Default – Since there would be multiple corporation actions for the same product, user

may choose one as “default” i.e. In case if the client does not specify, system will entitle the default corporate action for that client.

Optional – If selected “Optional” for a corporate action, user would need to Add/

Remove manually client by client. Scrip Fee – Un-check the “Scrip Fee” box to waive the scrip fee for that corporate

action. The details for corporate action processing are stipulated in section 7.10. For cash dividends, please input the dividend rate. For Bonus issue/ Split/ Consolidation, please input the entitlement rate for the share, and to which product. For “Corporate Action Type” and “Fee”, user may setup in the “Setup → Market” menu item. All information can be obtained from the files named “Corporate Master” and “Entitlement Statement”, which are downloaded from CCASS. Click the “Save” icon to save the modified setting.


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6.22 Client Account Type Click “Setup → Client Account Type” menu item. There are three types of account

C – Cash account

H – House account

M – Margin account

Enter the name of the account. Click “Add” to add the default trading market and custodian account for this account type. Click the “Save” icon to save the modified setting.


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6.23 Client Group

Click “Setup → Client Group” menu item.

Enter the code and name of the client group. To add/ remove client of the group, go to “Setup → Client” menu item, select from the client group drop down menu. To view client group click “Report → Master Setup Reports → Client Listing”.


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6.24 Client

Click the “Setup → Client” menu item.


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Name Description

Code Client Code

ID Client’s ID. No.

Name Click to enter Traditional, Simplified, English name

Client Signature Send Client’s signature to Ayers in PDF format. The file name must match with the client code. After Ayers uploaded the file to server, the file will be shown when click on “Client Signature”.

Payee Name Type in the cheque’s Payee name. The information will be shown in “Client fund withdrawal”.

Payee Bank a/c Type in the Payee Bank account no. The bank code is preset in “Setup → Bank”

AE Client’s AE

Alert Remark The content inputted here can be exported to the “Alert Remark” column in the AyersGTS. If user needs this function, please contact Ayers Customer Support hotline.

The settings of Client are explained in detail in the following sessions:

Session Description

Information Client general information

A/C Setup Account type, Status, Open/ Close Date and Statement Header Remark.

Other Contacts Other contacts.

Remark Set remark for Daily & Monthly Statement, remark expiry date and print cheque.

Commission Set trading, AE commission. If left blank the client default trading commission would be the commission set in “Market”. AE commission would be default to the commission set in “AE”.

Interest Set client interest rate. If left blank the interest rate would be default to the interest rate set in “Currency Interest, Bank a/c”.

Document Set up which documents are required for clients

Custodian a/c Client’s custodian account. If left blank the client’s default custodian account would be the custodian account set in “Client Account Type”.

Market Charges

Set or waive market charges. If left blank the market charges would be default to the market charges set in “Market”.

Payee Setup another payee

Other AE Setup another AE

Bank Sub Account

Setup different bank account for clients for fund deposits and withdrawal use.


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6.24.1 Information

Enter client information.

Phone No. – Client’s phone number

Fax No. – Client’s Fax number

Email – Client’s email address, this field must be filled if statement is to be received by email.

Type – Select client type: Local Retail Investor, Local Institutional Investor, Overseas Retail Investor, Overseas Institutional Investor

Date of Birth – Birthday of client

Gender – Mr., Miss., Mrs., N/A

Statement Language – Traditional Chinese, English, Simplified Chinese

Client Group – Member of client group

Address – Client’s address

Statement Delivery – Client receive statement method, by: Mail/ Post, Email, Fax, Hold, Hand, Other(s). To view Client receive statement method go to “Report → Balance Report → Client daily or Monthly Statement” (See image 1)

Confirmation Delivery – Trade confirmation delivery method by: Mail/ Post, Email, Fax

Related Client – Set relation to another client. To view related client go to “Report → Master Setup Reports → Client Listing” (See image 2)

Authorized Person – Client’s authorized third party


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Click “Save” icon to save the modified setting. Image 1:

Image 2:


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6.24.2 Account

Click “Add” to add account. To edit, double click on the record.

Code – Trading account code

Account Type – Client account type

Status – Status: Active, Closed, Dormant, Suspended

Open Date – Account open date

Close date – Account closed date

Loan Limit – Client’s loan limit (This field can export to front office)

Loan Expiry Date – Client’s loan expiry date (This field is for reference use, have no effect on front office)

Internet, IVRS, Mobile and Mango – Client’s trading channel.

Statement Header Remark – Remark show in statement header. Click “OK” and then “Save” to save the modified setting.


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6.24.3 Other Contact

If client had more than one contacts, click “Add” to type in the contact information. If the user has checked the “By Email (Daily/Monthly Statement)” box, the system can send the client’s daily/monthly statement to the other contact’s email address as well.



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6.24.4 Remark

Remark – Client remark (This field can be exported to front office)

Generate Daily Statement From – System will generate statements within the selected dates range even if there was no account movement.

Daily Statement Remark – Remark will be shown at the bottom of the daily statement

Daily Statement Remark Expiry Date – Expiry date of the Daily Statement remark

Monthly Statement Remark – Remark will be shown at the bottom of the monthly statement

Monthly Statement Remark Expiry Date – Expiry date of the monthly Statement remark

Click “Add” to add account ID or types of generate cheque for client.


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Print Dividend Cheque – Print cheque when client receive dividend

ISI Investor ID (For CCASS Use) – Add ISI Investor ID

Daily Net Balance Settlement (Cheque) – Generate cheque (net cash balance)

Daily Net Trade Settlement (Cheque) – Generate cheque if client makes profit E.g. Sell amount > buy amount

Daily Net Trade Settlement (Payout) – Generate Payout transaction record if client makes profit E.g. Sell amount > buy amount

SI Counterparty ID (For CCASS Use) – Add SI Counterparty ID Click “Save” to save the modified setting.


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6.24.5 Commission

Set client trading, AE commission. If left blank the client’s default trading commission would be the commission set in “Market”. AE commission would be default to the commission set in “AE”.

Click “Add” to set trading and AE commission of the market. Click “OK” and then “Save” to save the modified setting.


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6.24.6 Interest

Set client interest rate. If left blank the interest rate would follow the default interest rate set in “Currency Interest, Bank a/c”.

Click “Add” to set trading and AE commission of the market. Click “OK” and then “Save” to save the modified setting.


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6.24.7 Document

Set up which documents are required from client. Click “Add” to select document. Check the box if the document had been received. Set received/ Expiry date and click “OK”. To add group of documents click “Add Document Group”. Please see 6.7 “Document” and 6.8 “Document Group”. 6.24.8 Custodian Account

User can set client’s default custodian account in this function. If left blank, the default custodian account would follow the custodian account set in “Client Account Type”.

Click “Add” to add custodian account of the market. Click “OK” and then “Save” to save the modified setting.


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User can setup or waive market charges of that client in this function. If left blank the market charges would follow the default market charges set in “Market”.

Click “Add” to add market charge. Tick the box if this charge is to be waived. Click “OK” and then “Save” to save the modified setting.


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6.24.10 Payee

User can setup the alternative payee information for the client.

Click “Add” to add other payee. Select payment method, payee name and bank account.


The payee information can be show in “Input → Client Fund Withdrawal”.


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Click “Select Other Payee” would show the below table.

6.24.11 Other AE

If client has another AE, click “Add” to add the AE information.

Click “Save” icon to save the modified setting.


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6.24.12 Bank Sub Account

If the client has other bank sub account for deposit or withdrawal, click “Add” to input the account details.


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6.25 Report Job Item

Click “Setup → Report Job Item” menu item. Setup the reports that needed to be run by batch: a. Type in the “Code”; b. Type in the “Name”; c. Select reports (e.g. Filled Order Listing.); d. Select actions: Print or Export; e. Select export formats; f. Type in the name of the exporting report, or leave it as default

{reportname}_{Code}_{yymmdd}; g. Type in the email address for the file to be sent; h. Pressing the “Copy as New Record” button allows clients to edit the report copy.

Repeat the above steps for the reports that need to be run by batch.


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When setup finished, click “Setup → Report Job” menu item.

User can use “Report Job” to group the “Report Job Item” together. Enter code and name, and click "Add" to add in the “Report Job Item”. Click the “Save” icon to save the modified setting. Click “Report → Run Batch Report Jobs” menu item.

a. Select the file path for the reports to be saved; b. Select the Report Job code from the pull down menu for export or print a group of

report job items; c. Click ”Run Report” to run the batch jobs;


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After generated the reports, please check the messages to confirm all the reports are generated successfully.


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6.26 Report Viewer

(Note that Report Viewer is only for viewing reports in “rpt” format.) Click “Report → Reporter Viewer” menu item. Then the “Report Viewer” function will be shown.

Click the “Browse” button to open files for viewing. Search the report location and click the “Run Report” button to load the report.


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6.27 Batch Interface File – Import Click the “Setup → Batch Interface File Import/Export” menu item. Click on the “Import” tab.

If client also using AyersGTS as their front office system, tick the box “Import from AyersGTS” and then click “Process”.


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To import other files to AyersBOS, follow the steps below.

1. Click “Add File” button next to File Type, 2. Click the “…” button to locate the file 3. Click “Open”, and then “Add”, press “OK” when finished. 4. Setup all the import items and click the “Upload” followed by “Process” button.

If Upload failed, system will pop up an error message, please refer to the error message to make corrections. If Process failed, system will pop up an error message, please refer to the error message to make corrections.


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6.28 Batch Interface File – Export Click the “Setup → Batch Interface File Import/ Export” menu item. Click on the “Export” tab.

If client also using AyersGTS as their front office system, tick the box “Export to AyersGTS”. Choose date and then click “Export”. To export other files, follow the steps below. 1. Click the “Add File” button next to the File Type, 2. Click the “…” button to set the name of the exported file and its path 3. Click “Save”, and then “Add” 4. Tick the box of the export item and click the “Export” button.


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6.29 System Backup Click “System → System Backup” menu item.

Click “Backup” to backup system information to server. Please backup the BOS system regularly (The third step of the daily checking process.) in case client need to redo some procedures. If client needs to restore the backup file back to a certain period, please contact the Customer Support Team support staff for this request.


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6.30 Perform Day End Click the “System → Perform Day End” menu item.

The purpose of the Perform Day End function is to check if the existing data meets the requirement of the system. If there is any error existing in the data, this function will request client to make adjustment and perform day end again. Click “Start” to perform day end. The ignore checking presets in “System → System Setting → Setting 2” would show as “Ignore” in the status. When day end completed the status would show as “OK”. If problems found after performed day end, click “Reset Day End Status” to reset day end. When all settlement processes had completed, tick the box “Next Business Date” and click “Change”. Note: Changing Business Day is not reversible. Please contact us to restore backup

if necessary.


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If trading in securities and derivatives markets was terminated due to the hoisting of typhoon signal No. 8 or black rainstorms signal, please change business day to the next settlement day following the below guideline:

Click “Refresh” button, select the exchange trades which required to change settlement date, then click the “Update Selected Trades Settlement Date” button to change it.


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6.31 E-Statement Generation Click the “System → E-Statement Generation” menu item.

-Click the “Generate Statement(s)” button. The system will generate the daily/monthly statement files. -Click the “Email Daily Statement(s)” or “Email Monthly Statement(s)” button. The system will then send the statements to clients for those who have chosen to receive by email. -User can check if the email is sent successfully or not by the “Report → Other Reports → Sent Email Listing” function.

-If there are emails failed to be sent, user can click the “Email Daily Statement(s) or Email Monthly Statement(s)” button again to resend the emails that was failed in the “Sent Email Listing” report. To resend all emails, check the box “Resend All”, then click the “Email Daily Statement(s)” or “Email Monthly Statement(s)” button. -User can also send the daily/monthly e-statement according to the specific date and client.


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7 Input

7.1 Client Trade Click the “Input → Client Trade” menu item.


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This function allows user to input or edit trade record manually.

– Search to open client trade record

– Recalculate charges and commission

– Cancel and replace the trade record

– Cancel the trade record There are five channels to choose: 1. Trade Station (TS) 2. Internet (I) 3. IVRS (IVRS) 4. Mango (Mango) 5. Mobile (Mobile)


On “AE Commission” tab, it would show the AE commission amount for this order.


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7.2 Upload Client Trades Generation Click the “Input → Upload Client Trades Generation” menu item.

This function allows user to upload and process the client trades from the file to the AyersBOS. Click “Upload Trades Generation” after importing the trade records to back office. Remark: If client has clicked this button twice, there will be a duplicated record of the client trade. So client need to cancel all client trades and click the “Upload Trades Generation” button again.

7.3 Confirm/ Cancel Client Trades Click “Input → Confirm/ Cancel Client Trades”

This function allows user to cancel the imported trade record(s). To cancel trade record, select the trade record and then press “Cancel”


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7.4 Client Fund Deposit Click “Input → Client Fund Deposit” menu item.

Enter client’s fund deposits information. There are three types to select from the drop down menu: 1. PayIn (IN_TR) 2. Cheque (IN_Cheque) 3. Other (IN_OTHER) If the deposit type is Cheque (IN_Cheque), the fund can be used during the next working day of the “Avail.Date”. Click the “Save” icon to save the modified setting.

User can batch upload the client fund deposit records by clicking the icon. The file must be in Microsoft Excel 97 format. If client required the upload file format, please contact the Ayers customer support hotline.


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7.5 Client Fund Withdrawal Click the “Input →Client Fund Withdrawal” menu item.

Enter client’s fund withdrawal information. Click the “Save” icon to save the modified setting. User can select other payee of that client account. User need to preset the other payee information in the “Setup → Client → Other Payee” tab.

User can batch upload the client fund withdrawal records by clicking the icon. The file must be in Microsoft Excel 97 format. If client required the upload file format, please contact the Ayers customer support hotline.


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7.6 Confirm / Cancel Client Fund In / Out Click “Input → Confirm / Cancel Client Fund In / Out” menu item.

You may browse the Fund In / Out records by “Deposit” or “Withdraw” type. This function allows user to confirm those pending client Fund In / Out records, and cancel those pending and confirmed records. To confirm records, select the record and click the “Confirm” button in the Pending tab. To cancel records, select the record and then press “Cancel” in the Pending or Confirmed tab..


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7.7 Client Fund FX Transfer

Click “Input → Client Fund FX Transfer” menu item. User can transfer fund from the same client account to different currencies. (As below figure)

User can also transfer fund between different client accounts. (As below figure)


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There will be a message prompted when transferring fund between different client accounts as below:

Click “Yes” and a save successfully message will be prompted.


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7.8 Client OnHold Fund

User can input the hold fund of the client here. For example, the DAISY client account has 5 million cash balance. If user would like to hold 1 million cash from this account, user can input to hold 1 million cash until the expiry date. During this period, DAISY could only trade with 4 million cash in this account.

7.9 Withdraw Client OnHold Fund

User can withdraw or cancel the onhold fund in this client account. Click “Refresh”, select the client account and click “Withdraw” or “Cancel” button to proceed.


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7.10 Generate Draft Cheque Click “Input → Generate Draft Cheque” menu item.

If the client has selected the "Daily Net Trade Settlement ", "Daily Net Balance Settlement" or “IPO refund” in the “Setup → Client → Remark” tab, the system will automatically generate these draft cheque records. (Remark: This function will only keep today’s record. The previous records will be deleted.) Choose the Cheque date from the drop down menu and click "Refresh". Select the record and click "Generate Draft Cheque".


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7.11 Draft Cheque Click “Input → Draft Cheque” menu item.

The “Draft Cheque” function is used for generating draft cheque records manually, and editing existing records. To edit existing records, click the “Open” icon to search.


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7.12 Print Draft Cheque Click “Input → Print Draft Cheque” menu item.

All generated payment and withdrawal records will be shown here. The procedures for printing draft cheques are as follow: 1 Click “Refresh”. 2 Click ‘B’ to change “Next Cheque No.”. 3 Select record(s) in ‘E’ and click ‘C’ to assign cheque number. The cheque no. will

be shown in ‘F’. If the user has assigned the wrong cheque number, click ‘D’ to void cheque no.

4 The field “H” can show the number of the draft cheque to be printed. 5 Click ‘G’ to print draft cheque. After finished the 1-4 steps, the following screen will be displayed:


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7.13 Post Draft Cheque

1. Choose date 2. Click “Refresh” 3. Select record(s) 4. Click “Post”

The system will automatically generate withdrawal record, thus no need to enter manually.

7.14 Generate Payment Click “Input → Generate Payment” menu item.

If the user has selected the "Daily Net Trade Settlement ", "Daily Net Balance Settlement" or “IPO refund” in the “Setup → Client → Remark” tab, the system will automatically generate these draft cheque records. (Remark: This function will only keep today’s record. The previous records will be deleted.) Choose the Cheque date from the drop down menu and click "Refresh". Select the record and click "Generate Draft Cheque".The system will automatically generate withdrawal records, thus no need to enter manually.


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7.15 Print Cheque Click “Input → Print Cheque” menu item.

All generated payment and withdrawal records will be shown here. If the client wants to withdraw cash by cheque, this function can assign cheque number and print cheque for the client. The procedures for printing draft cheques are as follow:

1. Click “Refresh”. 2. Click ‘B’ to change “Next Cheque No.”. 3. Select record(s) in ‘E’ and click ‘C’ to assign cheque number. The cheque no.

will be shown in ‘F’. If the user has assigned the wrong cheque number, click ‘D’ to void cheque no

4. The field “H” can show the number of the draft cheque to be printed. 5. Click ‘G’ to print draft cheque

After finished the 1-4 steps, the following screen will be displayed:

(Please contact Ayers to request for this “Print Cheque” function.)


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7.16 Generate Custodian Fee

Click the “Input ->Generate Custodian Fee” Menu item. (Only applies for Taiwan Market) Select the month, cliek “Refresh”, and all clients needed to pay custodian fee will be shown here. If the client needs to pay custodian fee, select the client and click “Generate Custodian Fee” record. (HK market does not need to pay custodian fee.)

7.17 Client Product Deposit Click the “Input → Client Product Deposit” menu item.


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Enter client’s product deposit information. If checked the box “Nominee”, no scrip fee will be charged when processing the corporate action. If depositing products would induce a fee, click “Add" and select a formula, the system will automatically calculate the required fees.

Click to print receipt:


User can batch upload the client product deposit records by clicking the icon. The file must be in Microsoft Excel 97 format. If client required the upload file format, please contact the Ayers customer support hotline.


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7.18 Client Product Withdrawal Click “Input → Client Product Withdrawal” menu item.

Enter client’s product withdrawal information. If withdraw product require a fees, click “Add" and select a formula, then the system will automatically calculate the required fees.

User can batch upload the client product withdrawal records by clicking the icon. The file must be in Microsoft Excel 97 format. If client required the upload file format, please contact the Ayers customer support hotline. Click the “Save” icon to save the modified setting.


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7.19 Confirm/ Cancel Client Product In/ Out Click “Input → Confirm/ Cancel Client Product In/ Out” menu item.

You may browse clients’ Product In / Out records by “Deposit”, “Withdraw” or “Transfer” type. This enables user to confirm pending records, or cancel pending or confirmed records. Click the “Confirm” button in the Pending tab to confirm the records. Click the “Cancel” button in the Pending or Confirm tab to cancel the records.


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7.20 Client Onhold Product

User can hold the products for the client account. Input the client account code, product code, quantity and custodian account. If user need to collect charges, click the “Add” button. The hold product could not be traded until the expiry date.


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7.21 Withdraw Client Onhold Product

User can withdraw or cancel the hold products in this function. Click “Refresh”, select the client account and click the “Withdraw” or “Cancel” button.

7.22 Client Product Internal Transfer This function can transfer the custodian account of the products, or transfer street quantity products to nominee products (or reverse). Click the “Input → Client Product Internal Transfer” menu item.


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After doing a book close of a corporate action, the system will generate product transfer records automatically – the street quantity of the products can be transferred to nominee. A description will be added in the Remark column (as below screen),


7.23 Remove Expired Product Balance Click the “Input → Remove Expired Product Balance” menu item.

This function is used for removing expired product balance from clients. (Remark: If there is some CBBC contracts expired today, user can withdraw the products in this function. User needs to change the expiry date to previous date in the Product function first.) Click “Refresh” and the system will show all expired products and its quantity. Select the product and click “Generate Client Product Withdrawal Entry” button.


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7.24 ISI and SI

7.24.1 Investor Settlement Instruction

Add an ISI Investor ID (For CCASS Use) in the “Setup → Client →Remark” tab. Input the CCASS investor ID of the client to the box. By the ID, the system can deposit the product to the right custodian. (As following screen)


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If the client is doing a buy trade, user should transfer the product from 1:CCASS to the CCASS investor account. User can add an ISI charges formula by clicking “Add” in the “Input → Client Product Withdrawal → Fee” tab.

Also add the ISI code by clicking “Add” in the “Input → Client Product Withdrawal → Remark” tab and click the “Save” button.


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Confirm the product withdrawal in the “Input → Confirm/Cancel Client Product In/Out” function.

Input a cash deposit record in the “Input → Client Cash Deposit” function.

Confirm the cash deposit in the “Input → Confirm/Cancel Client Cash In/Out” function.


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If the client is doing a sell trade, user should transfer the product from the CCASS investor account to the 1:CCASS custodian. User can add an ISI charges formula by clicking “Add” in the “Input → Client Product deposit → Fee” tab.

Also add the ISI code by clicking “Add” in the “Input → Client Product Deposit → Remark” tab and click the “Save” button.


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Confirm the product deposit in the “Input → Confirm/Cancel Client Product In/Out” function.

Input a cash withdrawal record in the “Input → Client Cash Withdrawal” function.

Confirm the cash withdrawal in the “Input → Confirm/Cancel Client Cash In/Out” function.


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Export the ISI file in the “Setup → Export ISI” file. Upload the file to CCASS for settlement.


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User can check the today settled ISI record in the “Report → HKEx Report → ISI Listing” report.


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7.24.2 Settlement Instruction

SI is to transfer the product from one broker to another broker. User should add the SI Counterparty ID (For CCASS Use), SI Counterparty Name (For CCASS Use) and the SI Default Payment Instruction (For CCASS Use) function. Input the value of the above remarks.


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When the client has completed the transaction, client can click the “Input>Generate DVP client trade SI entries” function. Adjust the settlement day to T+2 day, click “Refresh”, select the trade and click the “Generate SI entries” button.


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If the client did not complete any transactions, client can click the “Input>Client Product Deposit” or “Client Product Withdrawal” to input the SI trade details and Custodian locations. In the “Fee” tab, user can add the preset SI charges formula (Only PFEE formula type can be applied) or input the SI charges manually. If the client is doing a buy trade, the SI function will automatically transfer all traded products from the preset custodian to the other brokers. In the “Fee” tab, user can add the preset SI charges formula (Only PFEE formula type can be applied) or input the SI charges manually.


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User can add the “SI Counterparty Ref” and “SI DVP Settlement Amount”, input the value of these columns, then click the “Save” button.

Confirm the product withdrawal in the “Client Product Withdrawal” function.


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Input the related cash deposit record into the “Input>Client Cash Deposit” function.

Confirm the cash deposit in the “Input>Confirm/Cancel Client Fund In/Out” function.


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If the client is doing a sell trade, the SI function will automatically transfer all traded products from other brokers to the preset custodian. (Normally CCASS:1) In the “Fee” tab, user can add the preset SI charges formula (Only PFEE formula type can be applied) or input the SI charges manually.


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User can add the “SI Counterparty Ref” and “SI DVP Settlement Amount”, input the value of these columns, then click the “Save” button.


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Confirm the product deposit record in the “Confirm/Cancel Client Fund In/Out” function.

Input the related cash withdrawal record into the “Input>Client Withdrawal” function.

Confirm the cash withdrawal record in the “Confirm/Cancel Client Fund In/Out”


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Export the SI file in the “Setup>Batch interface file import/export” function and click the Export button.


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User can check the SI entry records for today in the “Report>HKEx Report>SI Listing” function.


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7.25 Corporate Action Processing Click “Input → Corporate Action Processing” menu item.

The corporate action can be reviewed after importing the “HKEx Product Corporate Master” and “HKEx Entitlement Statement” files (must be imported in pairs). The steps for corporate action processing are as follow: 1. Enter the product code xxxxx:hk, date range and then click “Refresh”

2. Click to recalculate the number of clients that are entitled to the corporate action as the following screen.


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3. Select the corporate action and click the button; or double-click on the selected corporate action, the following screen will show

4. Click the “Book Close” button will change the street quantity of that product to nominee and collect scrip fee according to the formula.

5. Click the “Post” button to distribute the allotted products and to the clients. 6. After completing the last 2 steps, the “Book-close” and “Posted” columns will show

Y. 7. For that “Optional” Corporate Action, user can click “Transfer To” function to

transfer the Corporate Action from the default option to other options.

8. User can also click the “Edit” button to adjust the Corporate Action quantity.


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Click “Add” will show the following screen.

9. User can manually edit all client record and other corporate action fees here. After completed the corporate action process, (e.g. Cash Dividend, Scrip Dividend, Share Consolidation and Share Conversion), the system will automatically generate all the fund, product deposit/ withdrawal records. These records would also show the corresponding remarks of the corporate action. The corporate action details can be viewed in “Report → Transaction Reports → Corporate Action Detail Listing (as below).


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7.26 IPO Click the “Input → IPO” menu item. 7.26.1 Info

If user is using AyersGTS front office, the IPO application procedures are as below: 1. Create a new IPO record in AyersGTS 2. After completed the IPO subscriptions, click to export the application records to the AyersBOS. 3. Before importing the IPO applications, please check the IPO stock code with the existing product codes in AyersBOS. If the existing product information is incorrect, delete this record and create a new one 4. Upload the “dbf” file to AyersBOS 5. Export CCASS3 format file to CCASS 6. Click “Post Application” to hold client fund 7. Download “HKEx eIPO Result” from CCASS, and import to AyersBOS 8. Click “Post Allotment” to post allotment to clients 9. Click “Post Refund” to refund to clients After posting the Allotments and Refunds to clients, the system will automatically generate all the fund, product deposit records. The remark description will be inputted automatically, so user does not need to input them manually.


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Settings Description

Web e-IPO If checked, will allow client to subscribe IPO through the internet trading system

Start Time Subscription start time

End Time Subscription end time

Hold Fund Start Time The start time of holding client’s fund

Hold Fund End Time The end time of hold client’s fund

Check Fund Start Time The time to check if clients have sufficient fund

Margin End Time The end time for Margin

Max. Loan Ratio (%) Maximum Loan in percentage

Total Max Loan Amt Total Maximum Loan Amount for Margin

Interest % Margin Interest Rate in percentage

Interest Day Margin Interest Day

Handling Fee Handling Fee for IPO

Additional Loan Handling Fee Margin Additional Loan Handling Fee

Allotment/ Refund Date Refund Date

Allotment Price Allotment Price

Prospectuses URL Type in the IPO Prospectuses web link for Internet trading system uses

Remark Type in any remark for Internet web trading system

7.26.2 Quantity/ Amount Table

Click “Add” to add Apply Quantity and Apply Amount. Click “OK” and then “Save” to save the modified setting.


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7.26.3 Application

The system can export the IPO applications to CCASS in CCASS3 file format. Click “Input>IPO>Application>Export to CCASS3 Formatted File” button.

Input the time range and click “Export”, or leave it blank to export all application records. Then input the path of the exported file and click “Save”. Click “Post Application” button to hold the application fund of the clients.


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7.26.4 Result

User can download “HKEx eIPO Result” file from CCASS, and import it to AyersBOS. User can click “Post Allotment” button to distribute the IPO stocks to the clients, and click “Post Refund” button to refund back to the clients for failed applications.


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7.27 Accrued Interest Click the “Input → Accrued Interest” menu item.

Enter the debit or credit interest amount and click “Save” icon to save the modified setting.

7.28 Accrued Interest Posting Click the “Input → Accrued Interest Posting” menu item.

Type in the client code and click “Post” to post the accrued interest to the client immediately.


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7.29 Broker Trade Click the “Input → Broker Trade” menu item.

Enter the trade information and click the “Save” icon to save the modified setting. If the user has selected to do “Trade Matching” process during the Day End Processing, user must match all the broker and client trade records before Day End. In this function, user can choose the broker of the trade in the “Broker Code” column.


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8 Enquiry

8.1 Client Enquiry Click the “Enquiry → Client Enquiry” menu item.

Type in the “Client A/C” code, select date range and click “Refresh” button to enquire client information such as “Portfolio”, “Cash IO”, “Product IO”, “Pending Settle”, “Trade History” and “Info” information.


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8.2 Product Enquiry Click the “Enquiry → Product Enquiry” menu item.

Type in the “Product code”, select date range and click “Refresh” to enquire product information such as “Info”, “Product IO”, “Pending Settle”, “Trade History”, “Corporate Actions” and “Holdings” information.


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8.3 Client Transaction Report Click “Enquiry → Client Transaction Report” menu item.

Select business date range to enquire client transaction.


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9 Report

9.1 Generate a Report

Click “Report” in the main menu. Choose the desired report.

Select criteria and click the “Run Report” button. The desired report will be generated.


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9.1.1 Print a Report

Click the “Print” button on the report menu.

Select printer and print.


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9.1.2 Copy Texts

You can copy the texts of a report and paste on other applications. For example, copy the texts of a report and paste on Microsoft® Word. Click the “Copy” button on the report menu.

Go to Microsoft® Word; on the main menu click “Edit → Paste” to paste the texts in the word document.


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9.1.3 Search Texts

You can search a word or phrase in a report. Click the “Search” button on the report menu.

Input the word or phrase to be searched in the report. The searched word or phase will be highlighted in the report.

9.1.4 Zoom in/Zoom out

Click the “Zoom” button or select the desired percentage on the report menu to zoom in or zoom out a report.


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9.1.5 Export a Report

Reports can be exported into the following formats: • Rpt (Default) • Microsoft® Excel • Html • PDF • Rich Text • Tiff Click the “Save” button on the report menu.

Enter the file name, choose the file export format and save location. Click “Save” to export.

The “Data Has Been Exported Successfully” message will be shown.


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9.2 Open an Existing Report Report viewer can only open “rpt” format reports. Click “Report → Report Viewer” on the main menu. The “Report Viewer” function will be shown.

Click “Browse” to search.

Click “Open” and then “Run Report” to open the report.


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9.3 AyersBOS provide the following reports for referencing, printing and saving the report as a file.

Section Description

Master Setup Reports

User Listing User Group Listing User Access Right Listing User Group Access Right Listing Holiday Listing AE Listing Client Listing Outstanding/ Expired Client Document Listing

Transaction Reports

Client Trade Journal Listing Client Trade Journal Listing (By Broker) Broker Trade Listing AE Trade Journal Listing A.E. Trading Statistics Report Client a/c Type Trade/Statement Summary Client Turnover Summary Report Client Fund In/ Out Listing Client Fund Deposit Listing Client Fund Withdrawal Listing Draft Cheque Listing Client Product In/ Out Listing Product Transfer Listing Client/Broker Trade Matching Report Pending Settlement Trades Listing AE Commission Report AE Commission Details Report IPO Subscription Detail Listing Corporate Action Detail Listing Client Performance Report Client Onhold Fund Listing Client Onhold Product Listing

Balance Reports Client Acc Type Balance Summary Client Fund Balance Client Fund Balance History Client Short Sell Report Client Product Balance Client Product Balance History Client Product Location Balance Product Balance Summary Product Location Balance Product Location Balance Matching Custodian Product Balance Summary Client Portfolio Report Client Pending Settlement Fund Listing Interest Summary Client Interest Summary Client Interest Statement Margin Call (For Securities) Report


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Margin Call (For Securities) Report By Base Currency Margin Call (For Securities) Detail Report Margin Call (For Securities) Detail Report (Equivalent) Margin Call (For Securities) Detail Report By AE Group Client Daily Statement Client Monthly Statement Statement Delivery Listing Client Trust Report Client Loan Limit Report

HKEx Reports

HK Trade Summary HK Market Charges Summary (Direct Trade Only) HK Market Bought/ Sold Journal Report HK Market Trade Journal Report HK Stamp (Daily Return) Report HK Stamp (Monthly Return) Report HK Levy Report HK Broker Trade Report HK CCASS Stock Balance Summary ATI Listing STI Listing SI Listing ISI Listing Non-CCASS Trade Delivery Note

SFC/ FRR Reports

Margin Client Fund Balance Report Margin Shortfall Balance Report Rolling Balance Cash Client Analysis CR) – Item 23 Rolling Balance Cash Client Analysis (DR) – Form 6 Product Concentration Report Financial Adjustment Report Active Client Summary Report Top Margin Client Analysis Report – Table 1 Illiquid Product Summary Cash Client Unsettled Balance Aging Report Cash Client Unsettled Transactions Report Client Outstanding Trades Report Client Trade History

Other Reports Sent Email Listing User Login Logout History Audit Trail Listing Export Free Price Quote Scheme File

Funds Reports Order Placement Sheet Subscription Contract Note Daily Transaction Report – Subscription Redemption Contract Note

Date post:	29-Sep-2020
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AyersBOS Terminal User Manual By Ayers Solutions Limited · AyersBOS User Manual (Terminal) v1.12.1...

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