EFTA01412522.pdf

AO AM 1.1 (2) London Equities - Account opening check list 2 Eye 4 Eye SL NO Check list for GED Imagine 2 Eye 4 Eye General Duplicate Check Y 1 Customer name - Party Name General Mandatory infoAvailable in Req Notes Email Y 2 Address & Code Field General CASSIT ID Check - Name Change N 3 Account Type & Regulatory Agency SL NO Check list for eSpear application 2 Eye 4 Eye 4 Account # & Ext Cust Code 1 Account Name — Less than or equal to 32 char 2 Sub Account Name -Less than or equal to 32 characters 3 Abbrevation - Less than or equal to 15 characters SL NO Check list for GBE 2 Eye 4 Eye 4 Country Code - As per Db client /dbcar Y 1 Account Maint Tab - Mandatory Info 5 Codes- Input as per the procedure Y 2 Account XRef Tab - Mandatory Info 6 Product Area - Prime brokerage field updated 7 FSA Firm Reference Number CSGN Client Tier SL NO Checklist for CB Imagine 2 Eye 4 Eye 8 Alert Acronym & Access code fields Updated 1 Name & Code (Abbreviation) 9 Confirmation-Email Oasys Fax Swift Y 2 Account Type, Acc Number & ODC No 10 Option Account retained in closed status in eSpear 11 Signature,Screen prints of the applications Y SL NO Check list for DB Trader OTC FNO/IPB 2 Eye 4 Eye SL NO Check list for Fidessa application 2 Eye 4 Eye 1 Name and address as per dbcar 1 View Field - Abbrevation as per eSpear 2 codes( as per procedure) 2 Description Sub account name as per dbcar 3 Agreement number Y 3 Fund / Gets - eSpear slim number 4 Approved 4 Parent Id , Country Code 5 Popular account - Field populated to "Y" SL NO Checklist for G1 2 Eye 4 Eye 6 French Tax Indicator 1 CP code(With fund name and address) 7 Client side - Mandatory Info Updated 2 Currency and confirmation 8 Customer control account - Mandatory Info updated 3 status live/Fee at 100 'Y' 9 Client code is "ACTIVE" 4 Zero consideration'Y' 10 Confirmations-Email Fax 5 Margin updated as per templete 6 Major and short code updated SL NO Check list for EDI application 2 Eye 4 Eye 7 Confirmations-Email Fax Swift 1 Full name - Legal Name / Trading name or Trading name 2 Investment Manager name - Legal name as per db client Y EFTA01412522 Sl NO Checklist for XOL 2 Eye 4 Eye 3 Full address - Standard Format Y 1 Abbreviation as per eSpear 4 Update Trading Id/ sub a/c ID & Acc Number in Reference page Y 2 City as per DB Client 5 Approved Y 3 Display label to be selected 4 Counterparty field to be added SL NO Check list for Tracer application 2 Eye 4 Eye 1 Create Temporary Clim 2 Filter the Counterparty X Reference as per the Xpty Xref group General Db CAR Cross Reference Done 3 Update the Tracer portal code under Client's Default A/c Code General Confirmation email sent to requestor London Equities - Account-Maintenance check list SL NO Check List For Amendments: 2 Eye 4 Eye 1 Check for Authorized approver or Relevant approvals 2 Re-confirmation from requestor by proving specific confirmation available in copy over A/c. Email Oasys Fax Swift 3 Client mail or docs,S/S of the Client website,Original Bloomberg S/- S,VP & above approval.Email Oasys Fax Swift 4 Check the reqeusted (Party Name/TR Name/TR Transfer/Address) name is reflecting in Db Car Db Client 5 Amend the required fields in downstream systems 6 Reopen the account in all the DSS as per the mail 7 Take pre and post screen shots 8 Update the activity in Process Tracker 9 Confirmation email sent to requestor SL NO SYSTEMS 2 Eye 4 Eye SL NO SYSTEMS 2 Eye 4 Eye 1 E - Spear 3 6 CB Imagine 1 2 DB Trader OTC FNO / IPB 1 7 EDI 1 3 Fidessa 8 Globall 4 GBE 9 XOL 1 5 Ged Imagine 2 10 Tracer SL NO New Updates 2 Eye 4 Eye Activity Type :-Convertible Bonds and GED 1 Matching ID Type updated in eSpear - Swap Account ONB NUM :- ONB-1163623 2 Valid for US Dollar Repo updated to N - External Non PB A/cs 3 A/C NO : -102041841601 , 102041841602 4 5 Client Static Comments Maker:- Soumya Devadiga Checker:- Date/Time:- 23/05/2018 21:48 Date/Time:- Signature:- Soumya Signature:- Version Control No - 1.2 Approved By : Rajesh Kumar Date : 21-09-2017 &"arial unicode ms,Regular"For internal use only EFTA01412523 Field Wise 5 SL NO Check list for eSpear application Input 4 Eye 1 Account Name — Less than or equal to 32 characters 2 Sub Account Name -Less than or equal to 32 characters 3 Abbrevation - Less than or equal to 15 characters 4 Country Code - As per Db client 5 Codes- As per procedure 6 Prodcut Area - Prime brokerage field updated 7 FSA Firm Reference Number - Field updated 8 CSGN(Client Tier) 9 Alert Acronym & Access code fields Updated 10 Address- Registered address updated as Db client 11 Confirmations - Email/Oasys/Fax confirmation field 12 Option Account closed in eSpear 13 Client Tier Updation as per CSGN Code 14 Linkages 15 Seal,Signature,Hard copies of the applications attached to request SL NO Check list for Fidessa application Input 4 Eye 1 View Field - Abbrevation as per eSpear 2 Description - Sub account name as per Db client 3 Client code as per DB Client (ODC Number) 4 Fund / Gets - eSpear clim number 5 Parent Id - As per the request 6 Country Code - As per Db client 7 Popular account - Field populated to "Y", 8 French Tax Indicator Client side 1 DB ID - DB Client Party ID 2 MGCO - 10109370017 3 GETS - 921000201 4 Description - Party Name 5 View & BIC Field 6 CTAC - Y Customer control account 1 Description - Customer control account 2 Capacity - Customer control account 3 View & BIC Code - Client code endingwith CCA 4 Fund - CCA 5 Popular account - Field populated to "Y" SL NO Check list for EDI application Input 4 Eye 1 Full name - Legal Name / Trading name or Trading name 2 Counterparty type - If requested 3 Domicile - As per db client 4 Investment Manager name - Legal name as per db client 5 Full address - As per db client & Format of the address as per the Procedure 6 Change Entity - Update the entity 7 Trading Id - Update the trading ID in Reference page 8 Cross refer the account numbers in reference page of EDI 9 Approved EFTA01412524 SL NO Check list for GED Imagine 1 Customer name - Party Name 2 Address - Registered address 3 Code Field - DBS or DBO followed by Account number 4 Account Type(ACCT/CPTY) - Based in MIFID clasification 5 Regulatory Agency - GLOB / AUS 6 Account # - eSpear account abbreviation 7 Ext Cust Code - Account number 8 Customer type - XOL ( If Required ) SL NO Check list for GBE Account maintenance Tab 1 Legal entity - DBLON 2 Type - Client / Broker 3 Business - Cash 4 Bulk Type - None 5 Risk control Group - None 6 Client - Party Name 7 Sub Account - Abbrevation Account XRef tab 8 External Type - DBTLDN & Fidessa 9 External Code - Abbreviation & Account number 10 Valid form - Date YYYY-MM-DD ( Previous working day) SL NO Checklist for CB Imagine 1 Code(Abbreviation) 2 name as per DB client 3 Account Type(C) 4 Account number and ODC number SL NO Check list for DB Trader OTC FNO/IPB 1 Name and address as per DB client 2 codes( as per procedure) 3 Agreement number &"arial unicode ms,Regular"For internal use only EFTA01412525