AyersBOS. Terminal. User Manual. Ayers Solutions Limited

Transcription

1 AyersBOS Terminal User Manual By Ayers Solutions Limited Page 1 / 153

2 Amendment History AyersBOS User Manual (Terminal) v Version Date Details V Jul-09 Initial copy V Feb-10 Update V Sep-11 Update V Jan-13 Update Page 2 / 153

3 Contents 1 Introduction About Ayers BOS Getting Started Login Change Password Logout User Interface Main Menu Common Icons Save the Desktop Layout Load the Saved Desktop Layout Clear the Saved Desktop Layout Send Today News Show Today News Force User to Logout Suggest Daily Work Flow Setup System Setting Setting Setting Setting Maker Checker Approval Setup Password Policy Formula Currency Bank Currency Interest, Bank a/c Document Document Group User Group Create Users Reset User Password Create AE Group Create AE Broker Custodian Market Market Charges Product Group Corporate Action Fee Corporate Action Type Information Holiday Product Price Spread Table Product Market Charges Page 3 / 153

4 Remark Other Information Monthly Statistic FRR Grade Corporate Action Client Account Type Client Group Client Information Account Other Contact Remark Commission Interest Document Custodian Account Market Charges Payee Other AE Bank Sub Account Report Job Item Report Viewer Batch Interface File Import Batch Interface File Export System Backup Perform Day End E-Statement Generation Input Client Trade Upload Client Trades Generation Confirm/ Cancel Client Trades Client Fund Deposit Client Fund Withdrawal Confirm / Cancel Client Fund In / Out Client Fund FX Transfer Client OnHold Fund Withdraw Client OnHold Fund Generate Draft Cheque Draft Cheque Print Draft Cheque Post Draft Cheque Generate Payment Print Cheque Generate Custodian Fee Client Product Deposit Client Product Withdrawal Confirm/ Cancel Client Product In/ Out Client Onhold Product Page 4 / 153

5 7.21 Withdraw Client Onhold Product Client Product Internal Transfer Remove Expired Product Balance ISI and SI Investor Settlement Instruction Settlement Instruction Corporate Action Processing IPO Info Quantity/ Amount Table Application Result Accrued Interest Accrued Interest Posting Broker Trade Enquiry Client Enquiry Product Enquiry Client Transaction Report Report Generate a Report Print a Report Copy Texts Search Texts Zoom in/zoom out Export a Report Open an Existing Report AyersBOS provide the following reports for referencing, printing and saving the report as a file Page 5 / 153

6 1 Introduction AyersBOS User Manual (Terminal) v 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 Page 6 / 153

7 2 About Ayers BOS AyersBOS User Manual (Terminal) v 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. Page 7 / 153

8 3 Getting Started 3.1 Login AyersBOS User Manual (Terminal) v (a) (b) Switch on computer Double click the AyersBOS icon, the login screen will be shown. (c) (d) 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. 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. Page 8 / 153

9 (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. Page 9 / 153

10 4 User Interface 4.1 Main Menu AyersBOS User Manual (Terminal) v 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 Setup Input Enquiry Report Settings Exit Description Configure/Setup AyersBOS Client s deposit/withdrawal and IPO functions Enquire client and product information Print and save reports Configure desktop settings, change password 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 Exit the current window Description 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 Page 10 / 153

11 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. Page 11 / 153

12 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. Page 12 / 153

13 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. Page 13 / 153

14 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. Page 14 / 153

15 5 Suggest Daily Work Flow Suggest daily work flow as follow: Time Task Description After market close After market close 1. Batch Interface File Import/ Export 2. Upload Client Trades Generation Import trade records to AyersBOS. Upload Client Trades to AyersBOS After market close 3. System Backup Perform Backup 4. Client Fund Check and make sure all Client Fund Deposit/ Withdrawal, After market close Deposit/ Withdrawal, Product Deposit/ Product Deposit/ Withdrawal records have been entered Withdrawal Check and make sure all Client Trades After market close 5. 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 After market close Before next trading day Before next trading day Before next trading day Before next trading day (AM) 8. E-Statement Generation 9. Batch Interface File Import/ Export 10. Import CCASS Files to AyersBOS 11. Run Report: Product Location Balance Matching 12. Change Next Business Day 13. Export ATI File Generate E-Statements to Clients Export AyersBOS files to front office Download IPO,Corporate Action, Entitlement,CCASS Stock Bal from CCASS and import to AyersBOS Run Report : Product Location Balance Matching to check Product Balance with CCASS Change to Next Business Day when the above work completed. 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. Page 15 / 153

16 6 Setup 6.1 System Setting AyersBOS User Manual (Terminal) v Click Setup System Setting menu item Setting 1 Setting Display Today's News On Login Load Desktop Setting On Login Company Name Phone No. Show This Message After Login Function Key Description Check this box if you want to show "Today's News" window every time after user login. Check this box if you want to restore the saved desktop layout every time after user login. The company title will be shown in every report. For any send from AyersBOS will use this address as sender address. Company phone number Message type in here will be shown after login. Set shortcut keys for common function icons. Click the Save icon to save the modified setting. Page 16 / 153

17 6.1.2 Setting 2 AyersBOS User Manual (Terminal) v 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. Page 17 / 153

18 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): Page 18 / 153

19 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. Page 19 / 153

20 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. Click the Save icon to save the modified setting. The message type in the box will be shown at the bottom of the statement. Page 20 / 153

21 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. Page 21 / 153

22 6.1.3 Setting 3 AyersBOS User Manual (Terminal) v Business Date Setting Statement Delivery Day End Performed? Last Daily Statement Seq. No. Last Monthly Statement Seq. No. Non-CCASS Product Custodian A/C All s BCC To Statement Trade Remark Description Show system date and the following dates of T+1, and T+2. Default way of receiving statement Day End status. Y = performed, N = Not yet perform. Last daily statement sequence number. (see below screen) Please contact Ayers if needs to reset to 0. Last monthly statement sequence number. Please contact Ayers if needs to reset to 0. 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 the s sent out from the AyersBOS will bcc to this address. Message type in this box will show at the bottom of the Daily Trades session of the statement. (see below screen) Page 22 / 153

23 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. Click the Save icon to save the modified setting. The message type in the box will be shown at the bottom of the statement. Page 23 / 153

24 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 screen. to approve in the Setup -> Maker Checker Approval function. (As below Page 24 / 153

25 Click screen. to cancel in the Setup -> Maker Checker Approval function. (As below 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. Page 25 / 153

26 Click button to show the edited client details(as below screen) Page 26 / 153

27 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). Page 27 / 153

28 Settings Minimum Length Maximum Length Maximum Failure Count Minimum Numeric Digit Length Max. Inactive Day Password History Size Change Password Alert Day Password Expiry Day Force User Change Password On Next Login Force User Change Password When Alert Force User Compose Password By at least 1 Special Character, 1 Upper Case Letter and a 1 Numeric Digit. Description Minimum Length Maximum Length The maximum count of failed login, otherwise the user account will be locked and could not login. Minimum Numeric Digit within the password The longest number of days that the user did not login, otherwise the user account will be locked and could not login. Times allow to use the old password when entering/ changing new password Alert User to change password after the day count Password will expired after the day count Check this box will force user to change password on next login Check this box will force user to change password when alert When setting this function, the setup password should include Special Character, Upper Case Letter and a Numeric Digit. Click the Save icon to save the modified setting. Page 28 / 153

29 6.4 Formula AyersBOS User Manual (Terminal) v 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. Page 29 / 153

30 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. Page 30 / 153

31 6.5 Currency AyersBOS User Manual (Terminal) v 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 Page 31 / 153

32 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. Page 32 / 153

33 6.6 Bank AyersBOS User Manual (Terminal) v 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. Page 33 / 153

34 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. Page 34 / 153

35 Click the Save icon to save any modified settings. Page 35 / 153

36 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. Page 36 / 153

37 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. Page 37 / 153

38 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. Page 38 / 153

39 6.10 User Group AyersBOS User Manual (Terminal) v 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. Page 39 / 153

40 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. Page 40 / 153

41 6.11 Create Users AyersBOS User Manual (Terminal) v 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. Page 41 / 153

42 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. Page 42 / 153

43 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 Page 43 / 153

44 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. Page 44 / 153

45 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. Page 45 / 153

46 6.14 Create AE Click Setup AE menu item. AyersBOS User Manual (Terminal) v 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. Page 46 / 153

47 6.15 Broker AyersBOS User Manual (Terminal) v 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. Page 47 / 153

48 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. Page 48 / 153

49 6.16 Custodian AyersBOS User Manual (Terminal) v 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. Page 49 / 153

50 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. Page 50 / 153

51 6.17 Market AyersBOS User Manual (Terminal) v 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) 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. Page 51 / 153

52 To waive a charge, check the box Waived? click OK and then Save. Click the Save icon to save the modified setting Product Group Click Add to add market product information. (For Futures use) Page 52 / 153

53 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 ) To modify the charges, double click on the record. Click OK and then Save to save the modified setting. Page 53 / 153

54 Corporate Action Type Add Corporate Action Type for that market. Click Add to add corporation type or double click on existing record to modify. Corporate action fees that were added in The charges for Corporate Actions are to set in Corporate Action Fee (details please refer to Section ). Once setup, you may select here (as shown above). Click OK and then Save to save the modified setting. Page 54 / 153

55 The added corporate action type and its fees will be shown in Setup Corporate Action menu item. Page 55 / 153

56 Information AyersBOS User Manual (Terminal) v 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. Page 56 / 153

57 Holiday AyersBOS User Manual (Terminal) v 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. Click the Save icon to save the modified setting. Page 57 / 153

58 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. Page 58 / 153

59 6.19 Product AyersBOS User Manual (Terminal) v 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. Page 59 / 153

60 Market Charges AyersBOS User Manual (Terminal) v 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. Page 60 / 153

61 Remark AyersBOS User Manual (Terminal) v Click Add and select remark for reference use. Click the Save icon to save the modified setting. Page 61 / 153

62 Other Information AyersBOS User Manual (Terminal) v 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. Page 62 / 153

63 Monthly Statistic AyersBOS User Manual (Terminal) v 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. Page 63 / 153

64 6.20 FRR Grade AyersBOS User Manual (Terminal) v 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. Page 64 / 153

65 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. Page 65 / 153

66 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 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. Page 66 / 153

67 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. Page 67 / 153

68 6.23 Client Group AyersBOS User Manual (Terminal) v 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. Page 68 / 153

69 6.24 Client AyersBOS User Manual (Terminal) v Click the Setup Client menu item. Page 69 / 153

70 Name Code ID Description Client Code Client s ID. No. Name Click to enter Traditional, Simplified, English name Send Client s signature to Ayers in PDF format. The file name Client Signature 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 Set or waive market charges. If left blank the market charges would Charges be default to the market charges set in Market. Payee Setup another payee Other AE Setup another AE Bank Sub Setup different bank account for clients for fund deposits and Account withdrawal use. Page 70 / 153

71 Information AyersBOS User Manual (Terminal) v Enter client information. Phone No. Client s phone number Fax No. Client s Fax number Client s address, this field must be filled if statement is to be received by . 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, , 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, , 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 Page 71 / 153

72 Click Save icon to save the modified setting. Image 1: Image 2: Page 72 / 153

73 Account AyersBOS User Manual (Terminal) v 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. Page 73 / 153

74 Other Contact AyersBOS User Manual (Terminal) v If client had more than one contacts, click Add to type in the contact information. If the user has checked the By (Daily/Monthly Statement) box, the system can send the client s daily/monthly statement to the other contact s address as well. Click OK and then Save to save the modified setting. Page 74 / 153

75 Remark AyersBOS User Manual (Terminal) v 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. Page 75 / 153

76 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. Page 76 / 153

77 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. Page 77 / 153

78 Interest AyersBOS User Manual (Terminal) v 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. Page 78 / 153

79 Document AyersBOS User Manual (Terminal) v 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 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. Page 79 / 153

80 Market Charges AyersBOS User Manual (Terminal) v 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. Page 80 / 153

81 Payee AyersBOS User Manual (Terminal) v User can setup the alternative payee information for the client. Click Add to add other payee. Select payment method, payee name and bank account. Click OK and then Save to save the modified setting. The payee information can be show in Input Client Fund Withdrawal. Page 81 / 153

82 Click Select Other Payee would show the below table Other AE If client has another AE, click Add to add the AE information. Click Save icon to save the modified setting. Page 82 / 153

83 Bank Sub Account If the client has other bank sub account for deposit or withdrawal, click Add to input the account details. Page 83 / 153

84 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 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. Page 84 / 153

85 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; Page 85 / 153

86 After generated the reports, please check the messages to confirm all the reports are generated successfully. Page 86 / 153

87 6.26 Report Viewer AyersBOS User Manual (Terminal) v (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. Page 87 / 153

88 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. Page 88 / 153

89 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. Page 89 / 153

90 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. Page 90 / 153

91 6.29 System Backup AyersBOS User Manual (Terminal) v 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. Page 91 / 153

92 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. Page 92 / 153

93 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. Page 93 / 153

94 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 Daily Statement(s) or Monthly Statement(s) button. The system will then send the statements to clients for those who have chosen to receive by . -User can check if the is sent successfully or not by the Report Other Reports Sent Listing function. -If there are s failed to be sent, user can click the Daily Statement(s) or Monthly Statement(s) button again to resend the s that was failed in the Sent Listing report. To resend all s, check the box Resend All, then click the Daily Statement(s) or Monthly Statement(s) button. -User can also send the daily/monthly e-statement according to the specific date and client. Page 94 / 153

95 7 Input 7.1 Client Trade Click the Input Client Trade menu item. Page 95 / 153

96 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) Click the Save icon to save the modified setting. On AE Commission tab, it would show the AE commission amount for this order. Page 96 / 153

97 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 Page 97 / 153

98 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. Page 98 / 153

99 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. Page 99 / 153

100 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.. Page 100 / 153

101 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) Page 101 / 153

102 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. Page 102 / 153

103 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. Page 103 / 153

104 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". Page 104 / 153

105 7.11 Draft Cheque AyersBOS User Manual (Terminal) v 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. Page 105 / 153

106 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: Page 106 / 153

107 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 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. Page 107 / 153

108 7.15 Print Cheque AyersBOS User Manual (Terminal) v 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.) Page 108 / 153

109 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. Page 109 / 153

110 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: Click the Save icon to save the modified setting. 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. Page 110 / 153

111 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. Page 111 / 153

112 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. Page 112 / 153

113 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. Page 113 / 153

114 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 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. Page 114 / 153

115 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), Click the Save icon to save the modified setting 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. Page 115 / 153

116 7.24 ISI and SI AyersBOS User Manual (Terminal) v 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) Page 116 / 153

117 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. Page 117 / 153

118 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. Page 118 / 153

119 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. Page 119 / 153

120 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. Page 120 / 153

121 Export the ISI file in the Setup Export ISI file. Upload the file to CCASS for settlement. Page 121 / 153

122 User can check the today settled ISI record in the Report HKEx Report ISI Listing report. Page 122 / 153

123 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. Page 123 / 153

124 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. Page 124 / 153

125 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. Page 125 / 153

126 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. Page 126 / 153

127 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. Page 127 / 153

128 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. Page 128 / 153

129 User can add the SI Counterparty Ref and SI DVP Settlement Amount, input the value of these columns, then click the Save button. Page 129 / 153

130 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 Page 130 / 153

131 Export the SI file in the Setup>Batch interface file import/export function and click the Export button. Page 131 / 153

132 User can check the SI entry records for today in the Report>HKEx Report>SI Listing function. Page 132 / 153

133 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. Page 133 / 153

134 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. Page 134 / 153

135 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). Page 135 / 153

136 7.26 IPO Click the Input IPO menu item 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. Page 136 / 153

137 Settings Web e-ipo Start Time End Time Hold Fund Start Time Hold Fund End Time Check Fund Start Time Margin End Time Max. Loan Ratio (%) Total Max Loan Amt Interest % Interest Day Handling Fee Additional Loan Handling Fee Allotment/ Refund Date Allotment Price Prospectuses URL Remark Description If checked, will allow client to subscribe IPO through the internet trading system Subscription start time Subscription end time The start time of holding client s fund The end time of hold client s fund The time to check if clients have sufficient fund The end time for Margin Maximum Loan in percentage Total Maximum Loan Amount for Margin Margin Interest Rate in percentage Margin Interest Day Handling Fee for IPO Margin Additional Loan Handling Fee Refund Date Allotment Price Type in the IPO Prospectuses web link for Internet trading system uses Type in any remark for Internet web trading system Quantity/ Amount Table Click Add to add Apply Quantity and Apply Amount. Click OK and then Save to save the modified setting. Page 137 / 153

138 Application AyersBOS User Manual (Terminal) v 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. Page 138 / 153

139 Result AyersBOS User Manual (Terminal) v 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. Page 139 / 153

140 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 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. Page 140 / 153

141 7.29 Broker Trade AyersBOS User Manual (Terminal) v 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. Page 141 / 153

142 Page 142 / 153 AyersBOS User Manual (Terminal) v1.12.1

143 8 Enquiry 8.1 Client Enquiry AyersBOS User Manual (Terminal) v 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. Page 143 / 153

144 8.2 Product Enquiry AyersBOS User Manual (Terminal) v 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. Page 144 / 153

145 8.3 Client Transaction Report Click Enquiry Client Transaction Report menu item. Select business date range to enquire client transaction. Page 145 / 153

146 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. Page 146 / 153

147 9.1.1 Print a Report AyersBOS User Manual (Terminal) v Click the Print button on the report menu. Select printer and print. Page 147 / 153

148 9.1.2 Copy Texts AyersBOS User Manual (Terminal) v 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. Page 148 / 153

149 9.1.3 Search Texts AyersBOS User Manual (Terminal) v 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 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. Page 149 / 153

150 9.1.5 Export a Report AyersBOS User Manual (Terminal) v 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. Page 150 / 153

151 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. Page 151 / 153