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制度与流程管理的信息化解决方案.pdf

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制度 流程 管理 信息化 解决方案
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¦ Å ¬9ŠvÏS u 2009 M 12  26 °  ºµB*  Œ¿N @ñ¥ í d  îµ5 • ô/†º1ô É› T' Vb   Œ¿N @ñ¥ í d  îµ5 Ø8“¥1 pb © IDS Scheer AG www.ids-scheer.com 27 ]B* @ñ ˜ V[»¹‚]5 Øö5¥ þ'F Ø k @ ñ þ'_ @ñ SÁþ' @ ñ É gþ' @ ñ @ñ É 5 ؐ ½ †5 ؐ = e5 ؐ . “d¤ l›î  ’ç Ê  O þ'‹Ï% 5 Ø L @%5 8.4 o5 Ø “d F Ø k†ì “d¤ l›î SÁþ' ›î“d¤ l ›î É gþ' ›î“d¤ l ›î þ'‹Ï9 o 5ô  9N  ‚ Ð iA þ'‹Ïþ ' Æ o† information on the order form is not always complete (source of errors in subsequent processing)- Sales und Trading do not always supply all necessary information on order forms. - no system support! Work performed entirely by hand. Order administration - no overview of orders on hand and associated status,because system support lacking - Order forms lie loose on traders' desks - no overview of the status of orders, i.e. danger ofduplicate processing or non-processing Order fulfillment: - Order form passed to the Execution Desk by hand, Risk of loss of information with manual transfer - Time-consuming manual additions to the order form necessary (e.g. exchange rate); ultimately this is recorded twice: once onthe form once in the systemfrom GL-Trade present can be called up on the same day; order fulfillment confirmation by telephone on the same day from the broker present usually by the following morning; order fulfillment confirmation by telephone on the same day Complete order form 01-36211GER Domestic Institutions01-36214 International Institutions 01-36114 Agency Dealing/ Execution alternative (see above) Order form completed - Order form completed Order form (shares) Check whether customer wishes to enter into currency protection agreement 01-36211 GER Domestic Institutions 01-36214 International Institutions Customer wishes to enter into currency protection agreement Customer does not wish to enter into currency protection agreement Inform Treasury Exchange rate and CPD are td th d f Telephone 01-36211 GER Domestic Institutions 01-36214 International Institutions Sa 01-36111 Sales Trading 01-36111 Sales Trading (after . . arri th ollo ngmorning. Notify customer of fulfillment on the same day; especially necessary for net customers Customer notified of fulfillment Telephone 01-36211 GER Domestic Institutions 01-36214 International Institutions Telephone Order form(shares) ulti tely th is tw e: on the form, in the Further processing: - Manual transfer of order form to the MidOffice, risk of transmission errors and delays here also- Further processing in MidOffice not until the following day - Delay while waiting for broker fax as external transaction confirmation (does not arrive until the following day) - Need to refer to external data because internal information system inadequate;operational risk! - Information on the order form frequently differs from that on the broker fax - Information on the order form is often incorrect S eÄ 2 noted on the or er orm confirmation of transactionby Treasury present the next day Add initials to transaction confirmation Witness requirement Transaction confirmation initialed Forward order form Order form with Desk Support Transaction confirmation (Treasury) 01-36211 GER Domestic Institutions 01-36214 International Institutions 01-36211 GER Domestic Institutions 01-36214 International Institutions Order form (shares) 01-36111 Sales Trading 01-36111 Sales Trading does not usually reach Panmure for 2-3 days (rather an internal problem). Forwarding to MidOffice the same day! File transaction confirmation Send signed confirmation of transaction to Treasury Transaction confirmation (Treasury) 01-36211 GER Domestic Institutions 01-36214 International Institutions 01-36111 Sales Trading Transaction confirmation (Treasury) Transactionconfirmation filed Transactionconfirmation received by Treasury 01-36211 GER Domestic Institutions 01-36214 International Institutions 01-36111 Sales Trading Further processing by Treasury Further processing (next day): - MidOffice must perform lengthy manual comparison of information on the order form with information on the broker fax. - Sending fax confirmation to the customer (by hand, therefore a source of errors and delays) Attach broker confirmation Broker confirmation attached Broker confirmation Record transaction only after receipt of broker confirmation - Type of transaction - Quantity -Kind Send confirmation to customer by fax (Preliminary confirmation) Normally not sent before receipt of broker confirmation Confirmation sentto customer by fax OMNI FAX Send broker confirmation to WPS by bicycle courier Broker confirmation Broker confirmation Supplement broker confirmation For further processing in WPS: Customer number Customer name EB account (if necessary allocation to fund) (if necessary foreign exchange protection transaction) Broker confirmation supplemented Broker confirmation Order form (shares) Order form (shares) 01-36211 GER Domestic Institutions Liquidate shares (Cash) - Foreign Broker faxes are also routed directly to WPS by fax forwarding. Broker confirmation present usually arrive by the next day! Received by fax or by GL. MA Desk Support Düsseldorf MA Desk Support Düsseldorf MA Desk Support Düsseldorf MA Desk Support Düsseldorf MA Desk Support Düsseldorf Further processing (2 redundant steps): 1. - Manual addition to broker fax of data required for further processing in the WPS bank (e.g. customer number, customer name, EB account, '…) - Transfer of the broker fax to the WPS bank by bicycle courier (!) 2. - Recording of transaction in the OMNI system (not on the same day, therefore not MAH compliant) - Additions to transaction (e.g. settlement instructions) in AKTIAS (duplicated work!) Receipt of external broker confirmation in Trading is not MAH compliant! S eÄ 3 S eÄ 4 -Limit - gross/net - Customer/account - Currency (for foreign currency protected transaction the “Trading Cross Rate“ is recorded based on the order form ) Transaction recorded Attach settlement instructions to customer transaction Settlement instructions attached to customer transaction Attach transactions to customers Transactions attached to customers AKTIAS AKTIAS e.g. for investment companies Allocation of a transaction to multiple funds sent to WPS AKTIAS Forward information to interface with BSP-TRADE Data present on interface with BSP-Trade Liquidate shares (Cash) - Foreign MA Desk Support Düsseldorf MA Desk Support Düsseldorf Trade Control: Monitor market conditions Shares Z¼g Ô @ñ © IDS Scheer AG www.ids-scheer.com 37 Liquidate shares (Cash) - Foreign From order receipt until arrival in WPS sometimes takes about 48 hours. About 80% are present after one day. Settlement must normally be completed by D+3. 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