CUISpectra User s Guide

Transcription

1 CUISpectra User s Guide SunGard Asset Arena Investment Accounting Lombard, Illinois

2 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE TABLE OF CONTENTS 1 INTRODUCTION OVERVIEW FEATURES SYSTEM REQUIREMENTS Required Hardware Configuration Software and Communications Requirements INSTALLING THE SYSTEM INSTALLING THE SOFTWARE RUN OPTIONS SOFTWARE UPDATES ESTABLISHING AN INTERFACE WITH AN EMULATOR Critical Error Sign on Process STARTING CUI SPECTRA USER PROFILE DIALOG BOX USER SIGN ON ACCESSING SPECTRA THROUGH CUI Spectra Activities SECURITY DISTRIBUTION Security Distribution Report Request Distribution Report Set up Text Report Format Filters Sort By Custom Groupings Security Distribution Item List FUND TREND ANALYSIS Fund Trend Request Fund Trend Report Set up Text Report Format Fund Trend Analysis Item List PRICING/EXCHANGE RATE TREND Pricing/Exchange Rate Trend Request Pricing/Exchange Rate Trend Report Set up Text Report Format Pricing/Exchange Rate Item List TRANSACTION ANALYSIS Transaction Analysis Report Request Transaction Report Set up Text Report Format Filters Sort By Custom Groupings Transaction Analysis Item List CONSOLIDATED REPORTING Consolidated Reporting Request Using the System OVERVIEW FILE FUNCTIONS (FILE) Updating Data Lists Change Printer Printing Returning to the User Profiles Dialog Box... 65

3 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE TABLE OF CONTENTS Report Sets Transfer Reports Exiting the System ACTIVITIES FUNCTIONS New Requests Report Packages TOOL BOX (TOOLS) ONLINE HELP (HELP) Appendix A - File Formats SCRIPT FILES (*.SCR) Script Functions Script Tags Sample Script USER PROFILE (*.PRF) DATA LISTS (*.DAT) TOOLS LIST (TOOLS.LST) ITEM LISTS (I1*ITM.LST) MAINFRAME SCREENS Appendix B - Network Considerations Appendix C CUI Editor Mode OVERVIEW MODIFYING SCREENS Entering Editor Mode Assigning Field Attributes Deleting A Field Moving A Field Static Text Resetting to the Host Definition Add Alias Help Editor

4 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INTRODUCTION 1 INTRODUCTION 1.1 OVERVIEW There are two components to the CUI Spectra product. Common User Interface or CUI is a PCdriven front end to Asset Arena Investment Accounting, which takes advantage of Microsoft Windows technology to dramatically improve the ease of use and look and feel of the engine. Spectra is a PC-driven graphical report writer for Asset Arena Investment Accounting. Its function is to provide users with quick access to important information related to the composition of investment portfolios displayed in a user-defined format. 1

5 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INTRODUCTION 1.2 FEATURES This document explains how to install and use CUI Spectra. CUI provides: Integrated picklists of valid values by field to virtually eliminate the need to remember codes. Mouse driven processing. Click between related screens. User-designed formats for any engine screen. User-defined fonts and colors. User-defined help messages. User-defined edits and defaults for input data elements. Spectra provides real-time user access to several general types of data requests as follows: Security Distribution Analysis - Access to each data element contained on the Security Master File as well as holdings amounts as of a specified date and fund. Fund Trend Analysis - Access to each fund level data element contributing to the net asset value/unit value of a fund or multiple funds for a specified date or a series of dates. Pricing/Exchange Rate Trend Analysis - Access to price, spot and forward exchange rate records for specified securities/currencies for a specified date or series of dates. Transaction Analysis - Access to all data elements contained on the transaction file. Plus access to all data elements contained on the Security Master File as well as holdings amounts as of a specified beginning and ending date and fund. It also features a Consolidated Reporting module, which let users run reports across the various data types defined above. Data requested from each of these general analyses can be displayed at the user's option as: Text to Screen Text to Printer Pie Chart Bar Chart Text to File Each request has a host of options which allow the user to customize the output to include only desired data elements (Format), sorted in a user-defined manner (Sort), including userdefined selection criteria (Filter), broken out by key elements (Group By) with the ability to subtotal (Total), average (Average), and find the percentage (Percentage) on selected fields. Reports and graphs created by Spectra can be saved and recreated as desired by the user. Downloaded files are also designed for direct import into spreadsheet software such as Microsoft Excel. 2

6 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INTRODUCTION 1.3 SYSTEM REQUIREMENTS REQUIRED HARDWARE CONFIGURATION WINDOWS XP 233 MHz or higher processor 128 MB of RAM recommended 40 MB of Available Hard Disk (local or shared) 3270 Emulation Software SNA or IP connection to the Accounting Engine SOFTWARE AND COMMUNICATIONS REQUIREMENTS TN3270 emulation software (Attachmate Extra! or NetManage Rumba) with connectivity to the Asset Arena Investment Accounting engine. 3

7 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 2 INSTALLING THE SYSTEM 2.1 INSTALLING THE SOFTWARE 1. Obtain the CUI Spectra installation serial # for the specific release. 2. Insert the installation CD or download it from SunGard s support site 3. Open the contents of the CD or downloaded folder 4. Double-click on the setup.exe 5. Click Next on the Welcome screen 6. Read and click Yes to the Software License Agreement 7. Insert your Name, Company and Serial # and click Next 8. Choose Server or Stand Alone Installation and click Next If you are installing the software to a networked file server, select Server Installation. In addition to installing the software on the server, this provides the Client (node) installation found in the Client folder on the server path selected in the next step when server installation is chosen. This setup.exe must be run from the user s PC. 9. Choose a custom program location or Click Next to choose the default path location 4

8 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 10. Choose Shared Report Optionsand click Next The Client (node) installation progresses very much like the Server installation. However, each individual user's report access must be specified. Use Shared Reports Only will not allow the user to create their own reports. They will only have the ability to access pre-defined shared reports found in the shared report path. A G_shared_path must be present within the desktop icon's Target path. See Section 2.2 Use Shared Reports then provides a combination of both functions above. The user may create and edit their own reports as well as view and run predefined shared reports. This assumes that both a G_work_path and G_shared_path exist in the desktop icon's Target path. See Section 2.2 Do not use Shared Reports assumes that there is no shared report path. The user will function independently, creating and editing their own reports. Reports are stored in the G_work_path identified within the desktop icon's Target path.. See Section 2.2 Technical Note: The option chosen above may be modified after installation within the spectra.ini file (C:\windows folder). G_shared_only = Y indicates the user is unable to create/modify reports. G_shared_only = N allows the user to create/modify reports and, if a G_shared_path is defined, view reports in the shared path. [Spectra] G_work_path=[personal directory] G_shared_path=[shared directory] G_shared_only= 'Y' or 'N' 5

9 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 11. Should either of the Shared reports options be selected, you will be prompted for the location of the network Shared Reports path. 12. Choose the emulator that is resident on the user s workstation and click Next Please be aware that a certified emulator must be present when the CUI Spectra installation is run otherwise the installation does not proceed past this point. The CUI Explode program then starts. This program creates the updated screen definitions (\FIELDS\*.FLD) by applying the standard Asset Arena Investment Accounting rules table (\FIELDS\CUIFLD) against the existing customized and non-customized screen definitions. If the Explode process does not complete or you wish to use different input or output parameters, you may run it outside of the install process by executing the FIELD DEFINITIONS icon from the SunGard Start Menu. The Client (node) install program creates the c:\program Files\SunGard\CUISpectra path, pushes down essential files that provide local functions such as printing and default reports and profiles from the server. 13. Click Finish to complete the installation It is not necessary to run the Client (node) install program on existing nodes with every release update. Updating the server FIELDS/LISTS updates the nodes. Occasionally we may ask that the Client (node) piece be updated to pull in new versions of local files, however this requirement is rare. 6

10 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 2.2 RUN OPTIONS When a desktop icon is created, the command line is: C:\Program Files\SunGard\CUISpectra32\ESLRUN.EXE logon nb ESLRUN.EXE logon -nb EASEL runtime program Initial SunGard program to be run Turns off the beep on errors Which is followed by: -e errors The location where the system error log is dynamically created if necessary - errors is the filename. -d G_work_path The location of the user's personal profiles (.prf), report sets (.trn.dis.ins.fnd) and report packages (.pck) The default location is identified as the CUISpectra installation path. By utilizing the d G_work_path, the path may be moved outside of 7

11 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM For users of the Shared Reports Directory: the program folders locally or to a server location for backup purposes. -d G_shared_path Location of the shared reports directory. Normally, users have only read access to this directory. -d G_shared_only Determines, by user, their access to the shared reports directory. If this flag is set to Y only the reports in the shared directory are shown. This flag is driven by the Shared Reports Option selected during the installation. These parameters are housed in the spectra.ini file found within the c:\winnt\ folder. The spectra.ini file is created with the CUISpectra installation: [Spectra] G_work_path=[personal directory] G_shared_path=[shared directory] G_shared_only= 'Y' or 'N' informational only informational only Options to be installed manually by the System Administrator: -d G_optimized true Turns the Optimizer processing on. Used if the mainframe you connect to utilize software that compresses or otherwise optimizes the mainframe screens. NOTE: CUI's Editor mode cannot be used with this option. -terp Turns on the trace function which documents all application activity in the errors file (within the CUISpectra program path). Response time is greatly diminished so only use when necessary for troubleshooting. The Trace function may also be turned on from within the application with File-Trace. Other important CUI Spectra system parameters: CONFIG.ESL (within the CUISpectra program folder) contains a parameter called PRGSIZE, which allocates the amount of memory CUI Spectra can use. This variable should be left at the default value (3000) an error message is received that the MAXIMUM PROGRAM SIZE HAS BEEN EXCEEDED. In that event, increase the value of PRGSIZE in increments of 250 (that is, change it from 1000 to 1250) until you no longer receive the message. TECHNICAL NOTE: PRGSIZE is a system wide parameter and may cause problems with lower capacity network workstations if set too high. 8

12 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 2.3 SOFTWARE UPDATES CUI Spectra is frequently updated with product changes as well as changes to the underlying mainframe software. To update the PC, a new release CD is distributed to users and can also be downloaded from the InvestOneSupport.com website. The installation of the updates uses the same procedure as the initial installation subject to the following notes: The update typically overlays the existing software. You may also install the new release to a different directory. If installed to a different directory, ensure that a new desktop icon and profile are set up pointed to the new path. The update contains new copies of the Spectra Default reports and overlays any changes you may have made to these report sets. Based upon this, it is strongly advised that if you wish to use a report in the Default (DEFAULT.DIS, DEFAULT.FND, DEFAULT.TRN, DEFAULT.INS) report sets, you copy it to a report set of your own. The update also overlays CUI Spectra system files such as CONFIG.ESL. This means changes to such variables as PRGSIZE are set back to their default value. The update does not contain any of the downloaded data lists, so it does not interfere with your data lists. However, it does overlay all of the static data lists. If you have customized these data lists you must either restore your backup or remake the changes to the new lists. The FIELD DEFINITIONS program preserves the customized screens created by default. Both customized and non-customized screens are updated by changes made to the mainframe screens using the standard rules as defined in CUIFLD. There are exceptions to this processing: o Alias screens created in Editor mode are not updated. This means if the underlying screen base of the Alias is changed, the Alias must be rebuilt in Editor mode. For example, if an alias called STOCK is created based on DETE, and DETE is changed, the DETE screen definition is properly updated. However, the STOCK screen definition is not updated. o New fields added to customized screens are not automatically added as a default location of the new field may be occupied. To add the new fields go into Editor mode and select Function List Fields. You can then place the field in the screen position of your choice. Please note, unlike the field itself, the field label is automatically added to the updated to the screen definition. 9

13 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM 2.4 ESTABLISHING AN INTERFACE WITH AN EMULATOR The interface between the emulator session and the CUI Spectra product must be established correctly to successfully utilize CUI Spectra. An emulator session configured to point to the engine is a prerequisite to establishing an interface between the two products. Both products paths must be resident in the individual PC s Path Statement in order for them to see each other. To avoid confusion in the interface, it is important that there only be one emulator defined to the path and only one CUISpectra path. The emulator session connected to the engine should also be defined to a HLLAPI Short Name in line with a Short Name specified in the User Profile (see Section 3.2). 10

14 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - INSTALLING THE SYSTEM CRITICAL ERROR 17 The most common problem encountered during the initial set up of CUI Spectra and the mainframe emulator is the Critical 17 error. This error is generated when CUI Spectra is not able to establish an interface with the emulator session. To facilitate communication between CUI Spectra and the 3270 session, several emulator parameters must be set correctly and the emulator session must be running. TROUBLESHOOTING CHECKLIST 1. Have you installed the correct version of CUI Spectra? Both CUI Spectra and the emulator must be at the same bit level. 2. Does the CUI Spectra User Profile - Session # agree with the HLLAPI Short Name/API in the emulator session? (Both are pointed to Session A.) 3. Check the Computer's Path Statement to ensure that BOTH the CUI Spectra and Emulator program paths are included within the 128 character path limitation. Also, ensure that there is only one emulator and CUI Spectra path listed. The above should resolve the interface issue between CUI Spectra and the emulator. If not, you may wish to also confirm the following: 4. Check that the Computer's EMUTYPE setting identifies the proper emulator. 5. Check that the eslcmsrv.ini file exists within Program Files\Sungard\CUISpectra32 folder. 6. Confirm then that the emulator's.dll file (identified in the eslcmsrv.ini file) is found in the emulator's program folder. Rumba Extra! ehlapi32.dll pcshll32.dll 7. If set up correctly and still receiving error 17 - Then try to run the session from the actual executable SESSION file within Explorer. If this resolves the issue, recreate desktop shortcut. 11

15 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SIGN ON PROCESS 3 SIGN ON PROCESS 3.1 STARTING CUI SPECTRA From the Start Menu, select Program SunGard - Invest One CUI Spectra 32 or right click on CUI Spectra 32 and select Send To Desktop (create shortcut). Then double-click on the resulting CUISpectra 32 desktop icon: 3.2 USER PROFILE DIALOG BOX When starting CUI Spectra, the first prompt is the User Profiles dialog box. From here you may select a profile, change a profile, or add a new profile. The User Profile defines various parameters related to the session including where to find programmatic files, communications options, and user preferences. 12

16 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SIGN ON PROCESS To add or change an authorized user, select Add or Change. The User Profile edit dialog box is displayed: Field FILENAME DESCRIPTION APPLICATION INITIAL FIELD PATH Description Filename used to save the user profile. (Extension.prf is added). The field can be up to eight characters long. Description shown in the User Profiles dialog box. Should always be INVEST1. Initial program to start after the logon process is complete. I1SPEC for Spectraonly users, and SUNCUA to access both CUI and Spectra. Directory where CUI screen definitions may be found. The default path is c:\programfiles\sungard\cuispectra32\ fields. This can be changed by the user if they wish to create personal screen definitions. Note: Folder paths must be stated in DOS (8.3) format. 13

17 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SIGN ON PROCESS Field LIST PATH Description Directory where data lists (*.dat) may be found. The default path is c:\programfiles\sungard\cuispectra32\lists. Data lists contain alphabetical lists of valid entries for Investment Accounting (InvestOne) data elements. There are two types of data lists, static and dynamic (downloadable). The path for the dynamic data lists must be listed first, followed by a semicolon (;), followed by the complete path of the static data lists. Example: c:\programfiles\sungard\cuispectra32\region_a_lists; c:\programfiles\sungard\cuispectra32\lists In the above example, static lists are found in: c:\program files\sungard\cuispectra32\lists While dynamic lists specific to Region A are stored in: c:\program files\sungard\cuispectra32\region_a_lists Note: Folder paths must be stated in DOS (8.3) format. HELP PATH Directory where help (*.hlp) files can be found and saved. The user may change this if they wish to maintain personal help files. Note: Folder paths must be stated in DOS (8.3) format. DEMO PATH Directory where demo (*.dmo) files can be found and saved. Demo files contain snapshots of Investment Accounting (InvestOne) screens or graphs, which may be used to demonstrate Investment Accounting (InvestOne) without a live connection to the host data. Note: Folder paths must be stated in DOS (8.3) format. DEFAULT SESSION TN3270 emulator session Short Name that CUI Spectra should communicate with. The session Short Name is dependent upon your emulator's communication configuration. Commonly, this value is defined as A. CICS OPER NAME CICS Operator name which is defaulted in the User Signon dialog box optional entry. SETTLE TIME Amount of time (in 1000ths of seconds) the Input Inhibited indicator in the 3270 Operator Information Area (OIA) must remain gone before CUI Spectra can accept a host screen. This value is usually 10. The higher this value, the more overhead the PC adds to the process. If the value is too low, the PC may try to make entries before the emulator can accept them. This causes the emulator to go into input inhibited mode, preventing further interaction. To correct the situation, reset the emulator terminal session by means of the appropriate reset key. We strongly advise that the Settle Time be left at 10. GIVEUP TIME Maximum amount of time (in 1000ths of seconds) CUI Spectra will wait for the emulator to respond. It is recommended that this value be changed to the maximum value of , which allows a 16 minute wait if necessary. If the value is too low for the mainframe response, the PC sends an error message: HOST EMULATOR NOT RESPONDING. SCRIPT The script (*.scr) file will guide CUI Spectra from the initial emulator screen to the FUND menu. See Script Files in Appendix A for more information on script files. EUROPEAN DATE If checked, displays dates as DD/MM/YY. If unchecked, displays dates as the default format: MM/DD/YY. These Profile parameters are stored in a.prf file. A default profile is provided with the installation default.prf. See Script Tags in Appendix A. All.prf files must be stored in the G_work_path or personal path. See Section

18 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SIGN ON PROCESS 3.3 USER SIGN ON If the User Profile has a Logon Script associated, however a specific CICS Operator is not identified in the parameters, a valid CICS Operator is prompted for: However, if a specific CICS Operator is entered as part of the User Profile, your first logon prompt will request a valid password: Enter a valid password and select OK. If an incorrect password is entered, the script will redisplay the prompt for the password. If you wish to cancel, you may select the CANCEL button. Once canceled you may either re-access the profiles or exit the system. After the logon procedure is completed you are at the main FUND menu: 15

19 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SIGN ON PROCESS 3.4 ACCESSING SPECTRA THROUGH CUI Enter Spectra in the Next Activity box: You may also proceed directly to a specific activity by entering the activities short name as follows: Security Distribution Fund Trend Analysis Pricing/Exchange Rate Trend Transactions Analysis Consolidated Reporting DIST FTREND PREXCH TRANS CONS These activities can also be found by clicking on the ACTIVITY button in the NEXT FUNCTION box. 16

20 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES 4 SPECTRA ACTIVITIES 4.1 SECURITY DISTRIBUTION Security Distribution Reporting is used to analyze security holdings and/or currency positions for a single fund (fund can be an individual account, reporting account or group account) for a specific date. Holdings can be grouped, sorted, filtered, and reported by user selected security and holdings information. There are three types of records that can be reported by means of this activity. They are: Holding Records (Record Type = H ) Taxlot Records (Record Type = L ) Collateral Records (Record Type = C ) The format items selected determine which record types are retrieved (see Section 4.1.3). To select Taxlot records it is necessary to select format items prefixed by the words TAXLOT. Once selected, both H and L record types are reported. To view TAXLOT records only, it is necessary to set a filter of RECORD TYPE=L (see Section 4.1.4). In addition to the TAXLOT specific fields, the following fields will pass the associated taxlot values for taxlot records, but will not force taxlot records to be reported: Shares/Par Cost Value Amortization Traded Market Value Accrued Income Record Type All remaining holding record items are zeros on the taxlot records. However, security items will contain the appropriate values. To select Collateral records it is necessary to select format items prefixed by the words COLLATERAL (see Section 4.1.3). Once selected, both H and C record types are reported. To view COLLATERAL records only, it is necessary to set a filter of RECORD TYPE=C (see Section 4.1.4). See the SPECTRA DATA ITEMS manual for a complete listing of all format data items. 17

21 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES SECURITY DISTRIBUTION REPORT REQUEST Select Security Distribution from the Activities pull-down menu and the Security Distribution Report Request dialog box is shown: To run a report simply enter the fund, the as of date, reporting currency (when blank the base currency of the fund is used), and the report type. Then press OK. NOTE: If the report is designed as Text to file, you are prompted for a file name. A full path name must be entered. See Appendix C for additional detail on the Text to file option. NOTE: If the report is designed as a graph, you can access the detail graph information by selecting Detail from the Function pull-down menu. To select a different report, select New Request from the Function pull-down menu. To add or change a report type, select Add or Change and the Distribution Report Setup dialog box is displayed. See the following section, Distribution Report Set Up. 18

22 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES DISTRIBUTION REPORT SET UP The Distribution Report Setup dialog box allows you to define report types based on a number of parameters. Field DESCRIPTION TITLE 1 TITLE 2 FOOTNOTE Description Name shown in the Security Distribution Report Request dialog box. First title line for the report*. Second title line for the report*. Footnote for the report*. * Within Title 1, Title 2, and Footnote fields the following symbolics may be used: VALUE &account &date &report REPORT TYPE WEIGHTED BY GROUP BY REPLACED BY Short name of the account being reported. Date being reported. Name of the report printed at the bottom of each page of the printed report. Indicates how selected data is provided to the user. Options are as follows: Text to Screen - Displays textual data on the monitor. Text to Printer - Prints textual data on the attached printer. Pie Chart - Displays a pie graph on the monitor. Bar Chart - Displays a bar chart on the monitor. Text to File - Downloads textual data to a user-specified file on the PC. For graphs, the value or percentage each pie wedge or bar represents. For text reports, the value averages are weighted by (that is, Traded Market weighted average). The default is Amortized Cost. Data element used to create a sub heading on a textual report, or a piece of the pie/block of the bar chart (that is, to create a pie chart of the State distribution of a Municipal Bond Fund, select State Code as the Group By data element.) (For more complex groupings, which require logic to determine which like item to fit into (for example, a maturity range) see Custom Groupings). Default is None. 19

23 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Field MAXIMUM GROUPS Description Maximum number of groups to be created. The last group is tagged OTHER, and contains all holdings not included in prior groups. This field is typically used when creating graphs where the user may only want to show the five largest in a pie chart (for example) and combine all others in a sixth category called OTHER. In this case, Maximum Groups would be 6. (This option has no affect when Group By is None ). FORMAT Set up the report line for text reports. See Section FILTERS Filter criteria for the report. See Section SORT BY Sort criteria for the report. See Section EXCLUDE CASH, When checked (default) filters out all Cash, Expenses and Units. EXPENSES, AND UNITS EXCLUED RECEIVABLES/ PAYABLES FILE PARAMETERS When checked (default) filters out Receivables and Payables. Used only if Text to File Report Type is selected. See Appendix C for more information. The default is ASCII with COLUMN HEADINGS. Comma Delimited - Create file in a comma delimited format for importing into spreadsheet and database software. Add Column Headings - Create file with titles and column headings. When all parameters are selected, press the OK button to be returned to the Security Distribution Report Request dialog box. See Section

24 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TEXT REPORT FORMAT Pressing the Format button in the Security Distribution Setup dialog box displays the Text Report Format dialog box. This dialog box is used to construct the report line for text reports. ACTION ADD>> <<REMOVE MOVE UP MOVE DOWN OPTIONS NONE TOTAL Average Percentage Description Show Detail USE Adds item(s) to the report line. Select the desired item(s) from the Available Items list box, press button. See Section B.1 for a list of available data elements. Removes item(s) from the Report Line. Select the unwanted item(s) from the Report Line list box, press button. Moves an item up (to the left) on the Report Line. Select an item in the Report Line list box, press button. (NOTE: Only one item may be moved at a time) Moves an item down (to the right) on the Report Line. Select an item in the Report Line list box, press button. (NOTE: Only one item may be moved at a time). Removes options from items. Select the desired items from the Report Line list box, press button. Adds sum totals for items on group breaks and in total for the report. Select the desired items from the Report Line list box, press button. {Sum Total} displays after the item names. Adds weighted averages for items on group breaks and in total for the report. Select the desired items from the Report Line list box, press button. {Average} is displayed after the item names. (NOTE: The weight factor is selected in the Weight By field in the Distribution Report Setup dialog box.) Displays the item as a percentage of the report total for the item rather than the actual item value. Select the desired items from the Report Line list box, press button. {Percentage} displays after the item names. Convert the item value to an appropriate description for display in the report line. Select the desired items from the Report Line list box, press button. {Description} displays after the items names. Only items that have a corresponding Data List indicated in Section B.1 have descriptions. When checked, each individual holding is displayed as a report line. When unchecked, only group level totals display on the report. Default: detailed (checked). 21

25 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES When finished, press the OK button to return to the Distribution Report Setup dialog box (Section 4.1.2). The text after the Format button shows the number of text items selected. 22

26 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES FILTERS Pressing the Filters button in the Security Distribution Setup dialog box will display the Filters dialog box. This dialog box is used to select only certain qualifying data for inclusion on the report/graph. Up to five filters may be specified. However, if more than one filter is selected, only holdings which meet all specified filters are reported. To specify a filter: Select the item from the drop-down list. Select the appropriate operator from the drop-down list. (NOTE: The! operator represents not equal.) Enter the filter value in the value entry field. (NOTE: If available, valid values for the item can be retrieved by selecting the Value: button.) For example, the dialog shown above creates a report or graph of securities (exclusive of currencies) that have a Traded Market Value of greater than $100,000. Multiple Values which are concatenated into OR logic may be selected (that is, Asset Group G1:KG2 for selecting asset group G1 or G2 ). The user may select multiple values that are concatenated into OR logic by separating the values with a colon : or tilde ~. When delimiting fields using the tilde, the tilde must be placed immediately after the operand as well as separating each specified field. Colon as delimiter (AG=G1:G2) Tilde as delimiter (AG=~G1~G2) When specifying date fields, the format should be CCYYMMDD (that is, for 04/12/93). The same format is used for both European dates as well as non-european dates. 23

27 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES To compare one item to another (that is, PRICE = PRIOR PRICE), select one of the items in the item download list; select an operator in the operator drop-down list; and $code in the VALUE entry field, where code is the two-character value associated with the second item (see the Spectra Data Items book for a complete list of items and their codes). In the PRICE example, PRIOR PRICE's code is VP, so the VALUE entry field would contain $VP. Within a filter, # can be used as a wildcard position holder. For example, if a filter for Category Level 2 as #### 0010 is specified, any holdings with values such as or , etc. are received. NOTE: Changing the item in the filter does not automatically change the values. To remove a filter: Select None from the item drop-down list. NOTE: All filters following the removed filter will also be ignored. After the filters are selected, press the OK button and the Distribution Report Setup dialog box is returned. See Section The text following the Filters button reflects the number of filters selected. 24

28 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES SORT BY Pressing the Sort By button in the Security Distribution Setup dialog box displays the Sort By dialog box. This dialog box is used to specify sorting criteria for the report. Up to five sort levels may be specified. To specify a sort: Select the item from the drop-down list. Select Ascending or Descending from the drop-down list. Sorts are performed in the order appearing in the dialog box. In the above example, securities are first sorted by traded market value (largest to smallest). If two securities have the same traded market value, they are next sorted by security short name (A before Z). To remove a sort: Select [None] from the item drop-down list. (NOTE: All sorts following the removed sort are also ignored.) When you are finished specifying sorts press the OK button to be returned to the Distribution Report Setup dialog box (Section 4.1.2). The text following the Sort By button reflects the number of sorts selected. 25

29 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES CUSTOM GROUPINGS Custom groupings are used to create user-defined aggregations of numeric data. For example DAYS TO MATURITY (1-30 days, 31-60, etc), TRADED MARKET VALUE (0-5 million, 5-10 million, etc), etc. This function cannot be used for alphanumeric data and does only AND type logic. To create a custom grouping, select the last line in the Group By drop-down list, named Custom Grouping. The Custom Grouping dialog box displays. CONTROL USE LEGEND TITLE Legend title displayed on graphical reports. ADD Add a new group (see Section ). CHANGE Change an existing group (see Section ). DELETE UP DOWN GROUP REMAINDER IN OTHER Delete an existing group. Move a group up in the legend. Move a group down in the legend. When checked, an additional group is added to contain any holdings not belonging to a group. When unchecked, any holdings not belonging to a group are ignored. When you are finished specifying groups press the OK button to be returned to the Distribution Report Setup dialog box (Section 4.1.2). 26

30 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES SETUP GROUPINGS When adding or changing a group, the Setup Groupings dialog box is displayed. Enter the text to be displayed on the graph corresponding to this grouping in the Label field. You have the ability to specify up to five filters for each label. However, if you select more than one filter, only holdings that meet all specified filters are included within that label. To specify the criteria matching the label: Select the item from the drop-down list. Select the appropriate operator from the drop-down list. (NOTE: The! operator represents not equal.) Enter the filter value in the value entry field. (NOTE: If available, valid values for the item can be retrieved by selecting the Value: button.) To remove a filter line item: Select None from the item drop-down list. (NOTE: All filters following the removed filter are also ignored.) When you are finished specifying group filters press the OK button and you are returned to the Custom Groupings dialog box (Section 4.1.6). The group label is displayed in the group list box. 27

31 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES SECURITY DISTRIBUTION ITEM LIST The data elements available for selection in Spectra Security Distribution are listed in the Security Distribution Item List as seen in the InvestOne Enterprise Spectra Data Items document. Exceptional considerations and/or extended descriptions pertaining to some of the items available for selection are documented herein, presented in alphabetical order by Item in an Item/Considerations format: Bond Payment Frequency Floating This is the payment frequency of a floating bond (accrual methods F and E ). The payment frequency is based on the current ex-date and pay-date shown on the VSCR (Corporate Actions/Rates) screen as of the Spectra request date. This data item is only valid for bonds with accrual methods E and F. The number of days between these two dates determines the payment frequency for the floating bond. Depending on the number of days between the dates, the following payment frequency is populated: Payment Frequency Description Number of Days between Ex Date and Pay Date on VSCR A Annually 360 to 366 days M Monthly 28 to 31 days T Semi Monthly 14 to 16 days Q Quarterly 84 to 92 days S Twice a Year 180 to 183 days B Every Two 52 to 62 days Months W Weekly 5 to 7 days D Daily 1 day X Miscellaneous Returned When: No data available on VSCR screen. The number of days does not correspond to any of the above. Dealing Price Indicator Indicates if price used on this date is a dealing price. This processing applies only to dealing hierarchical valuation accounts and their underlying security holdings. Default Date Default Date is the Effective Date a security went into default. This date is entered on the BOSB screen. For securities in default, the accrued, amortized, and accreted amounts are suspended and kept constant from one valuation period to the next. If an account's Verification Date is greater than the security's default date, default processing begins on the day after Verification Date. If a new account's Inception Date is after the default date and the new account acquires a defaulted security, it has zero accruals from day one. To take a security out of default, zero out the default date. The account must be Swept in order for the default to be effective. Demand Demand reflects the number of days remaining until principal can be recovered through demand. Values are (00 is default). For further information see Section 5.20, BOSB Screen of the Investment Accounting (InvestOne) System Manual. 28

32 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Earned Amortization Earned Amortization reflects earnings per position for the valuation period ending with the AS OF DATE of the request. Provides local amortization earned in terms of the trade currency of the security. The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Earned Amortization (Base) Earned Amortization (Base) reflects earnings per position for the valuation period ending with the AS OF DATE of the request. Provides amortization earned in terms of the base currency of the fund. The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Earned Income Earned Income reflects earnings per position for the valuation period ending with the AS OF DATE of the request. Provides local income earned (or expense incurred, for EXPENSE or expense-like holdings) in terms of the income currency of the security. For a management fee (that is, security EXPENSE having qualifier in the range of inclusive), the component of the expense amount incurred as a result of a change in the accrual balance is derived from the AED (as seen on AAFB), not from the H3/H4 (as would be seen on VSHO), as that is where the accrual is expected to reside for such expenses. Where a stock dividend is earned in another stock (an SDIVOS) transaction, or is reinvested in another stock (a DIVR transaction), the earnings are associated herein with the collecting (rather than with the actual earning) security. The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne) (inclusive), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Earned Income (Base) Earned Income reflects earnings per position for the valuation period ending with the AS OF DATE of the request. Provides income earned (or expense incurred, for EXPENSE or expense-like holdings) in terms of the base currency of the fund. For a management fee (that is, security EXPENSE having qualifier in the range of inclusive), the component of the expense amount incurred as a result of a change in the accrual balance is derived from the AED (as seen on AAFB), not from the H3/H4 (as would be seen on VSHO), as that is where the accrual is expected to reside for such expenses. Where a stock dividend is earned in another stock (an SDIVOS) transaction, or is reinvested in another stock (a DIVR transaction), the earnings are associated herein with the collecting (rather than with the actual earning) security. The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne) (inclusive), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Earned Income (Local) Net Earned Income (Local) Net is the sum of the Gross Income Earned (Local) and the Net Withholding Expensed (Local), both as reported on the Holdings View Local/Base (VSHB) screen. It is equivalent to the Standard Extract field SDEX-HOLD-EARN-INCM. Effective Yield (Strips) The effective yield defined for either the security or taxlot, depending upon the request. These yields are entered on DEEY and apply to strip securities (IO, Ioette, PO) only. 29

33 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Effective Yield The effective yield is calculated to maturity for floating/variable rate securities (accrual methods E, F, V & W ). Where call/put data has been defined in the Bond Call/Put (BOCA) screen and the amortize to call flag is 1 on the Account Definition (AAAD) screen, the yield is computed to call/put. This effective yield is only applicable for bond-like securities and buy-like transactions. This effective yield is same as the effective yield displayed on Trade Correction screen for floating/variable rate securities. In order to see effective yield for a transaction, DECR data has to be present, Bond coupon rate on BOSB is set to zero and Payment month/day, Payment Frequency, Maturity Date should be defined in BOSB. If the effective yield is pulled for accrual methods other than E, F, V & W, the value is returned as zeros. Fair Value Processed This flag indicates if a Fair Value price applies to a holding on the request date. Value of Y means the Fair Value price is applicable; value of N manes the non-fair Value price is applicable. This flag is also Y when no Fair Value price is available and on AAMF, the FAIR VALUE EXCEPTIONS is 0. See Section of the System Manual for further information. Income Paid As Expense Income paid as Expense provides expense incurred on positions having the potential to both earn income and incur expense simultaneously (typically, a result of processing a Miscellaneous Disbursement (MISCDS) expense transaction on a holding that would otherwise earn income). The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne) (inclusive), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Income Discount (Taxlot) This is the current value of the initial discount for this taxlot for certain qualifying bonds purchased at a price less than par. For long positions, this appears as a negative value; for short positions, this appears as a positive value. See Section 3.50, Trial Balance R092, of the Investment Accounting (InvestOne) System Manual for further information. Initial Premium (Taxlot) This is the current value of the initial discount for this taxlot for certain qualifying bonds purchased at a price greater than par. For long positions, this appears as a positive value; for short positions, this appears as a negative value. See Section 3.50, Trial Balance R092 of the Investment Accounting (InvestOne) System Manual for further information. Interest Rate Floating/Variable Interest Rate/Floating Variable is the interest rate as shown on the VSCR (Corporate Actions/Rates) screen for floating and variable bonds (Accrual Methods E, F, V, W, and Z ). This data item extracts the rate shown on VSCR that is in effect as of the spectra request date. This field only returns data for a bond with accrual methods E, F, V, W, or Z. This data item is not applicable to bonds with other accrual methods. For accrual method Z, data is only extracted for a rate type of 365i as shown on the VSCR screen. No data is returned for rate type INTX. MBS Original Face Settled Balance This is the Settled MBS Original Face balance for the report request date. Final paydown sets this balance to zero. Balance is stored on Holdings record and is updated by inventory 30

34 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES process. Historical data may need initialization to update with correct historical values. This value does not display on VSHO or VSMBS. Month End Split Adjusted Price This is the price as of the month-end preceding the valuation date, adjusted for splits or stock dividends with the ex-date between the preceding month and the requested valuation date. Price comes from the price file, not the holding file. Splits and dividends come from the security file, not the corporate action file. Valuation Date Month End Price Date Split Adjustments Applied 11/15/01 10/31/01 11/1 11/15/01 Net Withholding Expensed Provides local net withholding expensed in terms of the income currency of the security. The data required to fully satisfy requests for this data item is available only since the release of Investment Accounting (InvestOne) (inclusive), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Net Withholding Expensed (Base) Provides net withholding expensed in terms of the base currency of the fund. The data required to fully satisfy requests for the this item is available only since the release of Investment Accounting (InvestOne) (inclusive), and is then available only for positions having been processed through Inventory with that release (or with a more current release). Previous Price (Calculated) Calculated from the Holdings Record (as would be seen on VSHO). The calculation used is based on the Price Code of the Security. However, the most basic and frequently used calculation is Traded Market Value divided by Shares/Par. To determine the previous date, the AARS Schedule is used. For example, if a fund is valued daily, the date would be one day prior to the AS OF Request Date of the report. For a monthly valued fund, it would be the prior month-end. If there is no Holding on this date, the Previous Price is reported as zero. Previous Price (Holdings) This is the actual market price stored on the Position Record (as would be seen on VSHO). If there is no Holding or Price on the record for the date, it is reported as zero. The determination of the previous date is the same as the Previous Price (Calculated). Price (Base) Calculated by dividing the Price by the Exchange Rate as defined on DEFX on the AS OF Request Date of the report. Price (Calculated) Calculated from the Holdings Record (as would be seen on VSHO). The calculation used is based on the Price Code of the Security. However, the most basic and frequently used calculation is Traded Market Value divided by Shares/Par on the AS OF Request Date of the report. If there is no Holding on this date, the Price is reported as zero. 31

35 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Price (Change %) This is the percentage change (in the calculated base price) of a security from the prior valuation date to the request as of date. Price (Holdings) This is the actual market price stored on the Position Record (as would be seen on VSHO) on the as of request date of the report. If there is no Holding or Price on the record for the date, it is reported as zero. Price Source (Holdings) Identifies the primary price source (vendor) which is in effect as of the request date. If the account is set up for Flexible Pricing, the source specified on the Account Flexible Pricing Definition (AAFP) screen is used. For Position Level Pricing, the source on the Position Level Pricing (PLP) screen is used. If there is no source specified on AAFP or PLP for the security and there is a source defined on the Security Definition screen, it is used. See also Price Source/Time/Type (Holdings). Price Source (Security) Identifies the primary price source (vendor) which is defined on the Security Definition screen. Price Source/Time/Type (Holdings) Concatenates the data noted above for Price Source (holdings), Price Time (Holdings) and Price Type (Holdings). Price Time (Holdings) Identifies the time within the primary source which is in effect as of the request date. For Flexible Pricing, the time specified on the Account Flexible Pricing Definition (AAFP) screen is used. For Position Level Pricing, the time on the Position Level Pricing (PLP) screen is used. Price Time is not available within the Standard Pricing method and will contain blanks. See also Price/Source/Time/Type (Holdings). Price Type (Holdings) Identifies the price type within the primary source which is in effect as of the request date. If Flexible Pricing is used, the type is specified on the Account Flexible Pricing Definition (AAFP) screen. For Position Level Pricing, the type on the Position Level Pricing (PLP) screen is used. If there is no type specified on AAFP or PLP for the security and there is a type defined on the Security Definition screen, it is used. See also Price Source/Time/Type (Holdings). Price Type (Security) Identifies the price type within the primary source that is defined on the Security Definition screen. Quarter End Split Adjusted Price This is the price as of the quarter-end preceding the valuation date, adjusted for splits or stock dividends with the ex-date between the preceding quarter and the requested valuation date. Price comes from the price file, not the holding file. Splits and dividends come from the security file, not the corporate action file. Valuation Date Quarter End Price Date Split Adjustments Applied 11/15/01 09/30/01 10/1 11/15/01 32

36 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Rate The interest rate as defined on the Security Definition (BOSB) screen for fixed income securities or the rate defined on the Corporate Action and Rates (DECR) screen, annualized, for floating/variable rate securities. Rule 2a-7 Flag Reflects whether or not floating/variable rate bond has preset rate change dates. Value is either: Blank = Security has preset rate change dates (variable) (default). 1 = Security does not have preset rate change dates (floating). See Investment Accounting (InvestOne) System Manual Section 5.20, BOSB Screen for further information. Special Dividend Indicator Dividend record using IDC Corporate Action Interface (FDC900Z5 preprocessor) and Dividend Record: International format, submitted with Dividend Code of 11, 75 or 77. See Section 2.54 in the Interface Manual for further information. Taxlot Orig Price Price at which the taxlot was purchased. The calculation used is based on the Price Code of the Security. However, the most basic and frequently used calculation is Principal or Cost divided by Shares/Par. Taxlot Orig Price (Base) Calculated by dividing the Taxlot Orig Price by the Exchange Rate as defined on DEFX on the AS OF Request Date of the report. Withholding (Local) Net Withholding (Local) Net is the sum of the Withholding (Local) and Reclaim (Local), both as reported on the Holdings View Local/Base (VSHB) screen. It is equivalent to the Standard Extract field SDEX-HOLD-LOCL-NRT. Year End Price This is the price as of the calendar year-end date preceding the valuation date, adjusted for splits or stock dividends with ex-date between the calendar year-end date and the requested valuation date. Price comes from the price file, not the holding file. Splits and dividends come from the security file, not the corporate action file. Refer to Section 4.2, Fund Trend Item List for an explanation of Calendar Year-End Date. Valuation Date Month End Price Date Split Adjustments Applied 1/15/02 12/31/00 1/1/01 1/15/02 2/1/02 12/31/01 1/1/02 2/1/02 33

37 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES NOTES 1. When a request is made for a Reporting Account, if any of the sub-accounts are not valued on the request date, an informational message appears. The message displays the number of sub-accounts not valued on the request date as well as the account number of the first sub-account not valued. The user may then click OK to view the report. The report provides information only for those sub-accounts that are valued on the request date. Accounts not valued on the request date are not included on the report. 2. A Security Distribution request for a Multi-Manager/MCS Fund provides a report including data extracted from the Group ( M ) Account and all related Manager ( S ) Accounts. Report details are not consolidated across the funds involved. 3. The filter for FUND TYPE works only when requesting a Reporting Account. If trying to exclude or include Load or No-Load funds, rather than filter with an L or N, leave blank. All other Fund Types use the letter that is associated with the Fund Type on AAMF. 34

38 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES 4.2 FUND TREND ANALYSIS Fund Trend Analysis is used to analyze fund level trends in asset, liability and equity accounts (for example, Total Assets, Cash, etc.) as well as NAV, shares outstanding, and yield information for a fund or multiple funds over a user-specified range of time FUND TREND REQUEST Select Fund Trend Analysis from the Activities pull-down menu and the Fund Trend Request dialog box is shown. To run a report simply select the fund(s), the as-of date, and the report. Then press OK. NOTE: If the report is designed as Text to File, you are prompted for a file name. A full path name must be entered. While viewing a report you can choose Graph from the Functions pull-down to create a bar or line chart of any item in the report. Conversely, when viewing a graph, you can choose Report from the Functions pull-down to view a textual version of the same information. To select a different report, select New Request from the Functions pull-down menu. To add or change a report type, select Add or Change and the Fund Trend Report Setup dialog box is displayed (Section 4.2.2). 35

39 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES FUND TREND REPORT SET UP The Fund Trend Report Setup dialog box allows you to define report types based on a number of parameters. CONTROL USE DESCRIPTION Name shown in the Fund Trend Request dialog box. TITLE 1 First title line for the report*. TITLE 2 Second title line for the report*. FOOTNOTE Footnote for the report*. * Within Title 1, Title 2, and Footnote fields the following symbolics may be used: VALUE REPLACED BY. &account Short name of the account being reported. &fromdate First period date. &date Last period date. &item Description of the item currently being graphed. &report Name of the report printed at the bottom of each page of the printed report. REPORT TYPE Indicates how selected data is provided to the user. Options are as follows: Text to Screen Displays textual data on the monitor. Text to Printer Prints textual data on the attached printer. Line Chart Displays a line chart on the monitor. Bar Chart Displays a bar chart on the monitor. 36

40 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Text to File PERIOD TYPE NUMBER OF PERIODS Downloads textual data to a user-specified file on the PC. Points in time being reported. Valid values are Days, Weeks, Months, Quarters, and Years. Number of periods to be reported. For example if the user wanted to report the past 30 days of information, Period Type would be Days and Number of Periods would be 30. GRAPH PARAMETERS Item - Item to be graphed if line or bar chart is selected. Percent Change - When checked, values are graphed as their percent of change from the first period value. Show Average - When checked, a red graph line or bar is added which shows the average for all funds reported. Smooth Factor - Used to adjust the scaling on the Y-axis of the graph. The minimum value is 1, which shows the most fluctuation. The maximum value is 99, which shows the least fluctuation. The default is 10. TEXT PARAMETERS Format Set up the report line for text reports. See Section FILE PARAMETERS Used only if Text to File Report Type is selected. Comma Delimited - Create file in a comma delimited format for importing into spreadsheet and database software. Column Headings - Create file with titles and column headings. When all parameters are selected press the OK button to return to the Fund Trend Request dialog box (Section 4.2.1). 37

41 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TEXT REPORT FORMAT Pressing the Items button in the Fund Trend Report Setup dialog box displays the Text Report Format dialog box. This dialog box is used to construct the report line for text reports. ACTION ADD>> <<REMOVE MOVE UP MOVE DOWN OPTIONS NONE TOTAL AVERAGE PERCENTAGE USE Adds items to the report line. Select the desired items from the Available Items list box, then press the button. See Appendix B for a list of available data elements. Removes items from the report line. Select the unwanted items from the Report Line list box, then press the button. Moves an item up (to the left) on the report line. Select an item in the Report Line list box, then press the button. (NOTE: Only one item may be moved at a time.) Moves an item down (to the right) on the report line. Select an item in the Report Line list box, then press the button. (NOTE: Only one item may be moved at a time.) Removes options from items. Select the desired items from the Report Line list box, then press the button. Adds sum totals for items in total for the report. Select the desired items from the Report Line list box, press button. {Sum Total} is displayed after the item names. Adds non-weighted averages for items in total for the report. Select the desired items from the Report Line list box, then press the button. {Average} is displayed after the item names. Displays the item as a percentage of the report total for the item rather than the actual item value. Select the desired items from the Report Line list box, then press the button. {Percentage} displays after the item names. When you are finished constructing the report line press the OK button to be returned to the Fund Trend Report Setup dialog box (Section 4.2.2). The text following the Format button will reflect the number of text items selected. 38

42 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES FUND TREND ANALYSIS ITEM LIST The data elements available for selection in Spectra Fund Trend Analysis are listed in the Fund Trend Analysis Item List as seen in the InvestOne Enterprise Spectra Data Items document. Exceptional considerations and/or extended descriptions pertaining to some of the items available for selection are documented herein, presented in alphabetical order by Item and in Item/Considerations format: Assets After Capital Change The Assets After Capital Change is equivalent to that provided on the Multiple Classes of Shares NAV Worksheet (R211). The value of the item is equal to the Prior Total Net Assets plus the Change in Capital, both as reported on R211. Values are provided at both the total fund and class levels. This item is valid only for Mutual Funds. AT Interim Earn Rate (INTEA) The Austrian Interim Earnings Rate (INTEA) is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEA) screen. This item should not be used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item returns a per share rate of Interim Earnings for Austria as reported on the INTEA screen. The rate is calculated using the following formula: Total Income Earned plus Allowable Expenses Shares Outstanding For Multiple Class of Shares accounts, this item can be reported at the total fund level only (not share class level). This item is valid only for domestic and global mutual funds and for accounts with a Local Process Flag of Blank (see the Account Special Processing Definition (AASP) screen). AT Interim Earn Rate (INTEAG) The Austrian Interim Earnings Rate (INTEAG) item is associated with the amendment to include short-term gains/losses on forwards and derivatives in the Interim Earnings calculation. It is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item should not be used when reporting Interim Earnings per the Statement of Interim Earnings (INTEA) screen. This item will return a per share rate of Interim Earnings for Austria as reported on the (INTEAG) screen. The rate is calculated using the following formula: Total Income Earned plus Allowable Expenses Shares Outstanding For Multiple Class of Shares accounts, this item can be reported at the total fund level and at the share class levels. This item is valid only for Fund Types L or N (see the Account Definition More Features (AAMF) screen) and for a Local Process Flag of GA, GE, or AT (see the Account Special Processing Definition (AASP) screen). Calendar Valuation Value Represents abbreviated description of value entered on Calendar Definition (DECAL) for the valuation date based on the Account HV Dealing Flag value in effect on the Valuation Date. Closed period data does not change since the return value is based on stored values 39

43 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES which had been in effect at the time of valuation. If HV DEALING FLAG is X, then return value for all DECAL entries is Not Available. If HV DEALING FLAG is N, then the following narratives return:. Business Day D Distribution E Non-Business Distribution F Non-Dealing End Date H Holiday N Non-Exist T Business Day V Non-Dealing NASDAQ W Weekend If HV DEALING FLAG is Y then the following narratives return:. Business Day D Dealing Distribution E Non-Business Dealing Distribution F Non-Dealing End Date H Holiday N Non-Exist T Dealing V Non-Dealing NASDAQ W Weekend Calendar Year End Date This is calendar year-end date of the previous calendar year. From February 1st through December 31st, it is December 31st of the latest year. It is the prior year during the month of January. Valuation Date Calendar Year End Date 1/31/ /31/2000 2/1/ /31/2001 Dual Pricing Quoted Bid Price on a Current Basis Reports the Quoted Bid Price for a Dual Priced OEIC based on the current valuation basis that is chosen for the valuation date. Current Basis may be Bid, Offer or Full. The current basis may change each valuation date. Each basis for a Quoted Bid Price is defined as follows: 40

44 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Bid Basis: Quoted Bid = Cancellation Price Offer Basis: Quoted Bid = Full Offer Price * (1 Dealing Spread) Full Basis: Quoted Bid = Cancellation Price Dual Pricing Quoted Bid Price on a Bid Basis Reports the Quoted Bid Price for a Dual Priced OEIC on a bid basis irrespective of what the current basis is for the valuation date. Bid basis for a Quoted Bid Price is defined as follows: Bid Basis: Quoted Bid = Cancellation Price Dual Pricing Quoted Bid Price on an Offer Basis Reports the Quoted Bid Price for a Dual Priced OEIC on an offer basis irrespective of what the current basis is for the valuation date. Offer basis for a Quoted Bid Price is defined as follows: Offer Basis: Quoted Bid = Full Offer Price * (1 Dealing Spread) Dual Pricing Quoted Bid Price on a Full Basis Reports the Quoted Bid Price for a Dual Priced OEIC on a full basis irrespective of what the current basis is for the valuation date. Full basis for a Quoted Bid Price is defined as follows: Full Basis: Quoted Bid = Cancellation Price Dual Pricing Quoted Offer Price on a Current Basis Reports the Quoted Offer Price for a Dual Priced OEIC based on the current valuation basis that is chosen for the valuation date. Current Basis may be Bid, Offer or Full. The current basis may change each valuation date. Each basis for a Quoted Offer Price is defined as follows: Bid Basis: Quoted Offer = Cancellation Price / (1 Dealing Spread) Offer Basis: Quoted Offer = Full Offer Price 41

45 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Full Basis: Quoted Offer = Full Offer Price Dual Pricing Quoted Offer Price on a Bid Basis Reports the Quoted Offer Price for a Dual Priced OEIC on a bid basis irrespective of what the current basis is for the valuation date. Bid basis for a Quoted Offer Price is defined as follows: Bid Basis: Quoted Offer = Cancellation Price / (1 Dealing Spread) Dual Pricing Quoted Offer Price on an Offer Basis Reports the Quoted Offer Price for a Dual Priced OEIC on an offer basis irrespective of what the current basis is for the valuation date. Offer basis for a Quoted Offer Price is defined as follows: Offer Basis: Quoted Offer = Full Offer Price Dual Pricing Quoted Offer Price on a Full Basis Reports the Quoted Offer Price for a Dual Priced OEIC on a full basis irrespective of what the current basis is for the valuation date. Full basis for a Quoted Offer Price is defined as follows: Full Basis: Quoted Offer = Full Offer Price Fiscal Year-End Month and Day Reports the Fiscal year-end month and day for the request date. (Note: it is not reported based on valuation date.) GE Interim Earn Rate (INTEA) The German Interim Earnings Rate (INTEA) is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEA) screen. This item should not be used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item returns a per share rate of Interim Earnings for Germany as reported on the (INTEA) screen. The Rate is calculated using the following formula: Subtotal of Interest Income plus Income Equalization plus Attributed Expenses Shares Outstanding For Multiple Class of Shares accounts, this item can be reported at the total fund level only (not share class level). This item is valid only for domestic and global mutual funds and for accounts with a Local Process Flag of Blank (see the Account Special Processing Definition (AASP) screen). 42

46 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES GE Interim Earn Rate (INTEAG) The German Interim Earnings Rate (INTEAG) item is associated with the amendment to include short-term gains/losses on forwards and derivatives in the Interim Earnings calculation. It is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item should not be used when reporting Interim Earnings per the Statement of Interim Earnings (INTEA) screen. This item returns a per share rate of Interim Earnings for Germany as reported on the INTEAG screen. The rate is calculated using the following formula: Interest Income plus Income Equalization plus Net Gains on F& D plus Attributed Expenses Shares Outstanding For Multiple Class of Shares accounts, this item can be reported at the total fund level and at the share class levels. This item is valid only for Fund Types L or N (see the Account Definition More Features (AAMF) screen) and for a Local Process Flag of GA, GE, or AT (see the Account Special Processing Definition (AASP) screen). HV Dealing Flag Reported value of X implies that the request date is prior to when the HV DEALING flag value on AAMF was stored; reported value of N means that on the request date the value from AAMF was stored and AAMF value for HV DEALING is N or blank; reported value of Y means that on the request date, the value from AAMF was stored and the AAMF value for HV DEALING is Y. Initial Discount This is the current value of the initial discount for this fund for certain qualifying bonds purchased at a price less than par. For long positions, this appears as a negative value; for short positions, this appears as a positive value. See Section 3.50, Trial Balance R092 of the System Manual for further information. Initial Premium This is the current value of the initial discount for this fund for certain qualifying bonds purchased at a price greater than par. For long positions, this appears as a positive value; for short positions, this appears as a negative value. See Section 3.50, Trial Balance R092 of the System Manual for further information. Net Losses Brought Fwd on F & D The Net Losses Brought Forward on F & D item is associated with the amendment to include short-term gains/losses on forwards and derivatives in the Interim Earnings calculation. It is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item should not be used when reporting Interim Earnings per the Statement of Interim Earnings (INTEA) screen. The value of this item is calculated as the Previous Year's Loss Brought Forward on F&D plus the Previous Year's Manual Loss Brought Forward on F&D as reported on the Interim Earnings Account Balances (VSVB4) screen. For Multiple Class of Shares accounts, this item can be reported at the total fund level and the share class levels. This item is valid only for Fund Types L or N (see the Account Definition More Features (AAMF) screen) and for a Local Process Flag of GA, GE, or AT (see the Account Special Processing Definition (AASP) screen). 43

47 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES MCS Class Allocation Percent Reflects the %ASSETS AFT CAP CHG on the Net Asset Value Proof (VNAV) screen. This amount is calculated as Class Assets After Capital Change/Total Fund Assets After Capital Change * 100, where Assets After Capital Change for both class and total fund is calculated as: Prior Net Asset + Current Shareholder Activity. Process Fair Value Displays the value of PROCESS FAIR VALUE from AAFV stored on the FV file. See Section of the System Manual for further information Request Type The Request Type item returns a two-character code indicating the valuation frequency associated with a given account (see the Account Preschedule Report (AAPR) screen). If multiple Request Types exist for a given account, the first Request Type with a Service Level of VALU that is encountered on file is the value returned by Spectra. Separate Accounts SA CURR ACCUM UNIT VALUE SA CURR ANNUITY UNIT VAL (3.5%) SA CURR ANNUITY UNIT VAL (5%) SA INVESTMENT FACTOR SA PAYOUT OPTION SA NET INVESTMENT FACTOR SA NET INVEST PERFORM-SPONSOR EQ SA NON HV ACCOUNT SA PREV ACCUM UNIT VALUE SA PREV ANNUITY VALUE (3.5%) SA PREV ANNUITY VALUE (5%) SA UNITS ROUNDING OPTIONS Refer to Section , Separate Accounts of the Investment Accounting (InvestOne) System Manual for more details. Shareholder Equity Accum d for req. period Accumulation of the Equity (Net Assets) value for the period specified for daily valuation funds. Shareholder Equity (Prev) based on WKAM values. AAMF defines whether this daily valuation account reports Friday Forward or Monday Backward values, and which calendar defines weekends and holidays. Based on the WKAM IND and CALEN: WKAM, previous Net Assets are returned based on the following rules: F (Friday Forward) uses prior calendar day if current day is a business day. If current day is not a business day, it uses the calendar day before the previous business day. M (Monday Backward) uses the previous business day. Shareholder Equity (Prev) Accum d for req. period Accumulation of the Shareholder Equity (Prev) value for the period specified. Short Term G/L on Fwds and Deriv The Short Term Gains/Losses on Forwards and Derivatives item is associated with the amendment to include short-term gains/losses on forwards and derivatives in the Interim Earnings calculation. It is used when reporting Interim Earnings per the Statement of Interim Earnings (INTEAG) screen. This item should not be used when reporting Interim 44

48 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Earnings per the Statement of Interim Earnings (INTEA) screen. The value of this item is calculated as the Current Year Derivative Gain/Loss plus the Current Year Manual Derivative Gain/Loss plus the Year To Date FX Gain/Loss as reported on the Interim Earnings Account Balances (VSVB4) screen. For Multiple Class of Shares accounts, this item can be reported at the total fund level and the share class levels. This item is valid only for Fund Types L or N (see the Account Definition More Features (AAMF) screen) and for a Local Process Flag of GA, GE, or AT (see the Account Special Processing Definition (AASP) screen. Weekend Accrual Methodology Calendar Date See Shareholder Equity (Prev) based on WKAM Values above. This is the computed date used to report the previous Equity value. NOTES 1. A Fund Trend Analysis request for a Multi-Manager/MCS Fund typically provides a report including account balance data extracted directly from the Multi-Manager/MCS Fund balances. The exceptional case is when data prior to the AAMF - GROUP ( M ) CONVERSION DATE needs to be extracted; in which case account balance data is extracted from the Group ( M ) Account balances. In either case, the individual Manager ( S ) Account balances are not used. All data items requested for a Multi-Manager/MCS Fund are identified by the account number of the Multi-Manager/MCS Fund (that is, no such data items indicate Manager ( S ) Account numbers). 45

49 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES 4.3 PRICING/EXCHANGE RATE TREND Pricing/Exchange Rate Trends is used to analyze up to five Securities or Currencies over a range of time PRICING/EXCHANGE RATE TREND REQUEST Select Pricing/Exchange Rate Trend from the Activities pull-down menu and the Pricing/Exchange Rate Trend Request dialog box is shown. To run a report simply select the Securities, the As of date, and the Report. Then press OK. NOTE: If the report is designed as Text to File, you are prompted for a file name. A full path name must be entered. While viewing a report you can choose Graph from the Functions pull-down to create a bar chart or line graph of any item in the report. Conversely, when viewing a graph, you can choose Report from the Functions pull-down to view a textual version of the same information. To select a different report, select New Request from the Functions pull-down menu. To add or change a report type, select Add or Change and the Pricing/Exchange Rate Trend Report Setup dialog box is displayed (Section 4.3.2). 46

50 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES PRICING/EXCHANGE RATE TREND REPORT SET UP The Pricing/Exchange Rate Trend Report Setup dialog box allows you to define report types based on a number of parameters. Control Use DESCRIPTION Name shown in the Pricing/Exchange Rate Trend Report Setup dialog box. TITLE 1 First title line for the report*. TITLE 2 Second title line for the report*. FOOTNOTE Footnote for the report*. * Within Title 1, Title 2, and Footnote fields the following symbolics may be used: VALUE REPLACED BY. &security Short name of the security being reported. &fromdate First period date. &date Last period date. &item Description of the item currently being graphed. &report Name of the report printed at the bottom of each page of the printed report. REPORT TYPE Indicates how selected data is provided to the user. Options: Text to Screen - Displays textual data on the monitor. Text to Printer - Prints textual data on the attached printer. Line Chart - Displays a line chart on the monitor. Bar Chart - Displays a bar chart on the monitor. Text to File - Downloads textual data to a user-specified file on the PC. PERIOD TYPE Points in time being reported. Valid values are Days, Weeks, Months, Quarters, and Years. NUMBER OF PERIODS Number of periods to be reported. CURRENCY Currency for report. This field is used to determine the exchange rates to use in displaying Translated Price. GRAPH PARAMETERS Item - Initial graph item (only used in graphs). Percent Change - When checked, values are graphed as their percent of change from the first period value. Show Average - When checked, a red graph line or bar is added which will show the average for all funds reported. Smooth Factor - Used to adjust the scaling on the Y axis of the graph. The minimum value is 1 - which shows the most fluctuation. The maximum value is 99 - which shows the least fluctuation. TEXT PARAMETERS Format Set up the report line for text reports. See Section Landscape/Portrait - Orientation of printed page. NOTE: The printer must also be set up with the same orientation. See Section FILE PARAMETERS Used only if Text to File Report Type is selected. Comma Delimited Create file in a comma-delimited format for importing into spreadsheet and database software. Column Headings Create file with titles and column headings. When all parameters are selected press the OK button to be returned to the Pricing/Exchange Rate Trend Request dialog box (Section 4.3.1). 47

51 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TEXT REPORT FORMAT Press the Items button in the Pricing/Exchange Rate Trend Report Setup dialog box to display the Text Report Format dialog box. Use it to construct the report line for text reports. ACTION ADD>> <<REMOVE MOVE UP MOVE DOWN OPTIONS USE Adds items to the report line. Select the desired items from the Available Items list box; press the button. See Section 5.3 for a list of available data elements. Removes items from the report line. Select the unwanted items from the Report Line list box; press the button. Moves an item up (to the left) on the report line. Select an item in the Report Line list box; press the button. (NOTE: Only one item may be moved at a time.) Moves an item down (to the right) on the report line. Select an item in the Report Line list box; press the button. (NOTE: Only one item may be moved at a time.) Brings up a dialog box that allows you to specify a title, price source (and price type if valid), and time. Selecting OK will add the item to the report line. When you are finished constructing the report line press the OK button to be returned to the Pricing/Exchange Rate Trend Report Setup dialog box (Section 4.3.2). The text following the Format button reflects the number of text items selected PRICING/EXCHANGE RATE ITEM LIST The data elements available for selection in Spectra Pricing/Exchange Rate Analysis are listed in the Pricing/Exchange Rate Item List as seen in the InvestOne Enterprise Spectra Data Items document. 48

52 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES 4.4 TRANSACTION ANALYSIS Transaction Analysis Reporting is used to analyze transactions and the resulting security holdings and/or currency positions for a fund for a period of time. Transactions can be grouped, sorted, filtered, and reported by user-selected transaction, security and holdings information. The fund requested can be an individual account, reporting account or group account. When dealing with transaction records, there are two levels of reporting. The higher, default level is straight transactions. The lower, detail level is reporting on relieved data. This level takes relieving entries (SELLS, MATU, FDEL, etc. transaction codes) and reports on the relieved data such as the memo number, carry and cost of the taxlot being relieved. This may generate multiple records for each relieving entry, depending on the accounting effects of the relieving entry. CUI's VSER screen displays the relieved memo numbers and relieved carry numbers and will balance to Spectra. See the Spectra Data Items book for a complete listing of all data items. The detail level of reporting is initiated whenever a format item (see Section 4.4.3) beginning with the word RELIEVED is selected. If no item beginning with RELIEVED is selected, only transaction records are reported. To report on only relieved entries a filter (see Section 4.4.4) is necessary to set a filter of RECORD TYPE=R TRANSACTION ANALYSIS REPORT REQUEST Select Transaction Analysis from the Activities pull-down menu and the Transaction Analysis Report Request dialog box is shown. To run a report enter the fund, the FROM and THRU DATE and select a report. Then press OK. The dates used are inclusive/inclusive, that is, for one day's activity the dates would be 06/24/94 thru 06/24/94. If position information is requested, then the dates would be exclusive and inclusive and must be valuation dates for the requested account. NOTE: If the report is designed as Text to File, you are prompted for a file name. A full path name must be entered. See Appendix C for additional detail on the Text to File option. 49

53 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES NOTE: If the report is designed as a graph, you can access the detail graph information by selecting Detail from the Functions pull-down menu. To select a different report, select New Request from the Functions pull-down menu. To create a standard set of reports for this activity, select Report Packages from the Functions pull-down menu. See Section for more on this function. To add or change a report type, select Add or Change and the Transaction Report Setup dialog box is displayed (Section 4.4.2). 50

54 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TRANSACTION REPORT SET UP The Transaction Report Setup dialog box allows you to define report types based on a number of parameters. Parameter Description DESCRIPTION Name shown in the Transaction Analysis Report Request dialog box. TITLE 1 First title line for the report*. TITLE 2 Second title line for the report*. FOOTNOTE Footnote for the report*. * Within Title 1, Title 2, and Footnote fields the following symbolics may be used: VALUE REPLACED BY. &account Short name of the account being reported. &fromdate From date being reported. &date Thru date being reported. &report Name of the report printed at the bottom of each page of the printed report. REPORT TYPE Indicates how selected data is provided to the user. Options: Text to Screen - Displays textual data on the monitor. Text to Printer - Prints textual data on the attached printer. Pie Chart - Displays a pie graph on the monitor. Bar Chart - Displays a bar chart on the monitor. Text to File - Downloads textual data to a user-specified file on the PC. HOLDINGS Determines the type of holdings to be requested. The options are: [NONE] - Retrieve transactions only (similar to the VSDT screen). All Holdings - Retrieve transactions, along with beginning and ending positions values for all holdings regardless of whether there are transactions for the period (similar to the DANA screen). For Transactions - Retrieve transactions along with beginning and ending position values for only those holdings that have transactions during the period. The default is [NONE]. SELECT BY Used to select which transactions qualify for the specified data range (the From and Thru dates). Selections for the field are as follows: Actual Settle Date. Contractual Settle Date. Effective Date Default. Entered Date (The system date at the time of entry). Generated Date (The TO DATE from BGTG). Trade Date. WEIGHT BY For graphs, the value or percentage each pie wedge or bar represents. For text reports, the value averages are weighted by (that is, Traded Market weighted average). The default is Amortized Cost. GROUP BY Data element used to create a sub heading on a textual report, or a piece of the pie/block of the bar chart. For example, if the user wanted to create a pie chart of the Broker used within a Fund, the user would select Broker Code as the Group By data element. (For more complex groupings that require logic to determine which like item to fit into (for example, a maturity range) see Custom Groupings Section 4.4.6). If 51

55 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Parameter MAXIMUM GROUPS Description All Holdings or For Transactions is selected for the Holdings parameter, the system forces the user to Group By Security Number (Full). The default is [NONE]. Maximum number of groups to be created. The last group is tagged OTHER, and contains all holdings not included in prior groups. This field is typically used when creating graphs where the user may only want to show the five largest in a pie chart (for example) and combine all others in a sixth category called OTHER. In this case, Maximum Groups would be 6. (This option has no affect when Group By is [None] ). FILE PARAMETERS Used only if Text to File Report Type is selected. See Appendix C for more information. The default is ASCII with column headings. Comma Delimited - Create file in a comma delimited format for importing into spreadsheet and database software. If not selected, the file contains an ASCII version of the printed report. Add Column Headings - Create file with titles and column headings. TEXT PARAMETERS Format Set up the report line for text reports. See Section Filters - Filter criteria for the report. See Section Sort by - Sort criteria for the report. See Section Securities Only - When checked (default) filters out all non-security positions. This excludes Fixed Expenses, Cash, Currencies, Units and Note transactions/ positions without the use of the Filters button. Deselecting the check box allows the reporting of these transactions/ holdings. Pending Transactions - When checked, reports on Pending Transaction (T2) activity data ONLY. Note that when the Pending Transactions box is checked, [NONE] must be selected from the Holdings field. When all parameters are selected, press the OK button to be returned to the Transaction Analysis Report Request dialog box (Section 4.4.1). 52

56 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TEXT REPORT FORMAT Pressing the Format button in the Transaction Report Setup dialog box displays the Text Report Format dialog box. This dialog box is used to construct the report line for text reports. Control ADD>> <<REMOVE MOVE UP MOVE DOWN OPTIONS NONE TOTAL AVERAGE PERCENTAGE Use Adds item(s) to the report line. Select the desired item(s) from the Available Items list box; then press the button. See Section 5.3 for a list of available data elements. Removes item(s) from the report line. Select the unwanted item(s) from the Report Line list box; then press the button. Moves an item up (to the left) on the report line. Select an item in the Report Line list box; then press the button. (NOTE: Only one item may be moved at a time.) Moves an item down (to the right) on the report line. Select an item in the Report Line list box; then press the button. (NOTE: Only one item may be moved at a time.) Removes options from items. Select the desired items from the Report Line list box; then press the button. Adds sum totals for items on group breaks and in total for the report. Select the desired items from the Report Line list box; then press the button. {Sum Total} is displayed after the item names. Adds weighted averages for items on group breaks and in total for the report. Select the desired items from the Report Line list box; then press the button. {Average} is displayed after the item names. (NOTE: The weight factor is selected in the Weight By field in the Transaction Report Setup dialog box.) Select the desired items from the Report Line list box; then press the button. {Percentage} is displayed after the item names. If the item selected for percentage is also selected for count, the result is the Percent of Count. Only one Percent of Count is allowed. If the items selected for percentage have no associated count item, the percentage is of the report total for the item rather than the actual item value. Percentages can be calculated for each item, after each group break when applicable, and in total for the report. 53

57 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Control DESCRIPTION COUNT SHOW DETAIL Use Convert the item value to an appropriate description for display in the report line. Select the desired items from the Report Line list box; then press the button. {Description} is displayed after the items names. Only items with a corresponding Data List indicated in Spectra Data Items have descriptions. This option is available only for Transaction Analysis. The number of occurrences for the item over a given period of time is displayed. Only one item in the list box can be selected for count. After the item is selected, press the button. {Count} is displayed after the item name. The count option can be used at the detail or summary level. If items are not grouped, only the total count is reported. When checked, each individual holding is displayed as a report line. When unchecked, only group level totals are displayed on the report. When the report line is constructed, press the OK button and the Transaction Report Setup dialog box is returned (Section 4.4.2). The text following the Format button reflects the number of text items selected. 54

58 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES FILTERS Pressing the Filters button in the Transaction Report Setup dialog box will display the Filters dialog box. This dialog box is used to select only certain qualifying data for inclusion on the report/graph. Up to five filters may be specified. However, if more than one filter is selected, only holdings that meet all specified filters are reported. To specify a filter: Select the item from the drop-down list. Select the appropriate operator from the drop-down list. (NOTE: The! operator represents not equal.) Enter the filter value in the value entry field (NOTE: If available, valid values for the item can be retrieved by selecting the Value: button). Multiple Values which are concatenated into OR logic may be selected. (For example: Asset Group FH:FM for selecting Asset Group G1 or G2.) The user may select multiple values which are concatenated into OR logic by separating the values with a colon : or tilde ~. When delimiting fields using the tilde, the tilde must be placed immediately after the operand as well as separating each specified field. Colon as delimiter (AG=FH:FM) Tilde as delimiter (AG=~FH~FM) 55

59 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES When specifying date fields, the format should be CCYYMMDD (that is, for /04/12/93). The same format is used for both European dates as well as non-european dates users. To remove a filter: Select None from the item drop-down list. (NOTE: All filters following the removed filter will also be ignored.) When you are finished selecting the filters line, press the OK button and to be returned to the Transaction Report Setup dialog box (Section 4.4.2). The text following the Filters button reflects the number of filters selected SORT BY Pressing the Sort By button in the Transaction Report Setup dialog box displays the Sort By dialog box. This dialog box is used to specify sorting criteria for the report. Up to five sort levels may be specified. To specify a sort: Select the item from the drop-down list. Select Ascending or Descending from the drop-down list. Sorts are performed in the order appearing in the dialog box. In the above example, securities are first sorted by Asset Group (in alphabetical order). To remove a sort: Select [None] from the item drop-down list. (NOTE: All sorts following the removed sort will also be ignored.) When finished specifying sorts, press the OK button and the Transaction Report Setup dialog box is returned (Section 4.4.2). The text following the Sort By button reflects the number of sorts selected. 56

60 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES CUSTOM GROUPINGS Custom groupings are used to create user-defined aggregations of numeric data. For example DAYS TO MATURITY (1-30 days, ), TRADED MARKET VALUE (0-5 million, 5-10 million...), etc. This function cannot be used for alphanumeric data. To create a custom grouping, select the last line in the Group By drop-down list named Custom Grouping. The Custom Grouping dialog box is displayed. CONTROL USE LEGEND TITLE Legend title displayed on graphical reports. ADD Add a new group; see Section CHANGE Change an existing group; see Section DELETE Delete an existing group. UP Move a group in the legend up. DOWN Move a group in the legend down. GROUP REMAINDER IN OTHER When checked, an additional group is added to contain any holdings not belonging to a group. When unchecked, any transactions/holdings not belonging to a group are ignored. When you are finished specifying groups press the OK button and you are returned to the Transaction Report Setup dialog box (Section 4.4.2). 57

61 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES SETUP GROUPINGS When adding or changing a group, the Setup Groupings dialog box is displayed. Enter the text to be displayed on the graph corresponding to this grouping in the Label field. You have the ability to specify up to five filters for each label. However, if you select more than one filter, only holdings which meet all specified filters are included within that label. To specify the criteria matching the label: Select the item from the drop-down list. Select the appropriate operator from the drop-down list. (NOTE: The! operator represents not equal.) Enter the filter value in the value entry field. (NOTE: If available, valid values for the item can be retrieved by selecting the Value: button.) To remove a filter line item: Select [None] from the item drop-down list. (NOTE: All filters following the removed filter will also be ignored.) When you are finished specifying group filters press the OK button and you are returned to the Custom Grouping dialog box (Section 4.4.6). The group label is displayed in the group list box. 58

62 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES TRANSACTION ANALYSIS ITEM LIST The data elements available for selection in Spectra Transaction Analysis are listed in the Transaction Analysis Item List as seen in the InvestOne Enterprise Spectra Data Items document. Exceptional considerations and/or extended descriptions pertaining to some of the items available for selection are documented herein, presented in alphabetical order by Item in an Item/Considerations format: Demand Reflects the number of days remaining until principal can be recovered through demand. Values are: (00 is default). Effective Yield The effective yield is calculated to maturity for floating/variable rate securities (accrual methods E, F, V & W ). Where call/put data has been defined by means of the Bond Call/Put (BOCA) screen and the AMORTIZE TO CALL flag is 1 on the Account Definition (AAAD) screen, the yield is computed to call/put. This effective yield is only applicable for bond-like securities and buy-like transactions. This effective yield is same as the effective yield displayed on Trade Correction screen for floating/variable rate securities. In order to see effective yield for a transaction, DECR data has to be present, Bond coupon rate on BOSB is set to zero and Payment month/day, Payment Frequency, Maturity Date should be defined in BOSB. If the effective yield is pulled for accrual methods other than E, F, V & W, the value is returned as zeroes. Forfeited Discount/Premium Relief transactions for certain qualifying bonds not sold at par, report the amount of discount or premium forfeited, computed as Carry plus principal. This appears as a negative value for long positions relieved at a discount and as a positive value for long positions relieved at a premium. Similarly, this appears as a positive value for short positions relieved at a discount and as a negative value for short positions relieved at a premium. Results are meaningless for qualifying transactions affecting neither Cost nor Carry. See Section 3.50, Trial Balance R092 of the Investment Accounting (InvestOne) System Manual for further information. Initial Discount This is the value of the initial discount for this transaction for certain qualifying bonds purchased at a price less than par. For long positions, this appears as a negative value; for short positions, this appears as a positive value. Relief transactions display the opposite sign. See Section 3.50, Trial Balance R092 of the Investment Accounting (InvestOne) System Manual for further information. Initial Premium This is the current value of the initial discount for this transaction for certain qualifying bonds purchased at a price greater than par. For long positions, this appears as a positive value; for short positions, this appears as a negative value. Relief transactions display the opposite sign. See Section 3.50, Trial Balance R092, of the Investment Accounting (InvestOne) System Manual for further information. Previous Price (Calculated) For the Holdings Lines, Previous Price is calculated from the Holdings Record (as would be seen on VSHO). The calculation is Traded Market Value divided by Shares/Par. The Beginning Balance is based on one day prior to the FROM DATE of the report. The Ending 59

63 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Balance is based on one day prior to the TO DATE of the report. If the FROM and TO DATES are not valuation dates or there is no holding, the prices are reported as zero. For the Transaction Line, the date is based on one day prior to the effective date of the transaction. If there is no Price on the Price File for that date, the File is searched for a price on a date closest to the previous date (up to 30 days back). If still no price is found, the transactions within that date range are interrogated. The price on the transaction closest to the previous date are reported. In the absence of any price, the Previous Price is reported as zero. For a Flexible Pricing account, the price search is as follows: The Price File is interrogated for an exact match (Source, Time, Type) one day prior to the effective date of the transaction. If not found, the Price File is searched (up to 30 days back) for an exact match. If no match found, the Price nearest the previous date regardless of Source, Time and Type is used. In the absence of a Price on the File, transactions within the date range are interrogated for a Price. Previous Price (Base) For the Holdings Lines, the Previous Price is divided by the Exchange Rate on file for that date. For the Transaction Line, once the source of the Previous Price is determined it is divided by the Exchange Rate on file for that date. Price (Calculated) For the Holdings Lines, Price is calculated from the Holdings Record (VSHO). The calculation is Traded Market Value divided by Shares/Par. The Beginning Balance is based on the FROM DATE of the report while the Ending Balance is based on the TO DATE. If these dates are not valuation dates or there are no holdings, the prices are reported as zero. For the Transaction Line, the source of the Price is the transaction itself. If there is no Price, it is reported as zero. Price (Base) For both the Holdings and Transaction Line, Price (Base) is calculated by dividing the Price by the Exchange Rate. Rate The interest rate as defined on the Security Definition (BOSB) screen for fixed income securities or the rate defined on the Corporate Actions and Rates (DECR) screen, annualized, for floating/variable rate securities. Rebook Cross Reference Memo If a transaction is reversed and automatically rebooked, on the reversal transaction this field represents the memo number of the rebook transaction. On the rebook transaction, this field represents the memo number of the reversal transaction. 60

64 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES Relieved Gain/Loss (Term) The term of the gain/loss is based on the number of days between the acquisition trade date and disposition trade date. The gain/loss codes displayed in Spectra reports for each of the following gain/loss terms are as follows: Short Short Gain - GSS Long 28% Gain - G8L Short Term Gain - GS Long 28% Loss - L8L Short Term Loss - LS Long 20% Gain - G0L Mid Term Gain - GMD Long 20% Loss - L0L Mid Term Loss - LMD Long Long Gain - GLL(No Longer valid. See note) Long Long Loss - LLL(No Longer valid. See note) Reversal Class Indicates if the transaction used same day reversal processing. O indicates an original transaction, R indicates a reversal transaction. Reversal Cross Reference Memo If a transaction is reversed, on the original transaction this field will represent the memo number of the reversal transaction. On the reversal transaction, this field will represent the memo number of the original transaction. Rule 2a-7 Flag Reflects whether or not floating/variable rate bond has preset rate change dates. Values are either: Blank - Security has preset rate change dates (variable) (default). 1 - Security does not have preset rate change dates (floating). See Investment Accounting (InvestOne) System Manual Section 5.20, BOSB for further information. Special Dividend Indicator Dividend record using IDC Corporate Action Interface (FDC900Z5 preprocessor) and Dividend Record: International format, submitted with Dividend Code of 11, 75 or 77. See Section 2.54 in the Interface Manual for further information. NOTES 1. A Transaction Analysis request for a Multi-Manager/MCS Fund provides a report including data extracted from the Group ( M ) Account and all related Manager ( S ) Accounts. Reports are not consolidated across the funds involved. 2. The filter for FUND TYPE works only when requesting a Report Account. 3. TRANSACTION CLASS has a filter that enables the user to bypass all rebalancing transactions for Top Level Funds. If exclusion of rebalancing transactions is desired, a transaction class filter with not equal operand: TRANSACTION CLASS! RB** is used. If inclusion of only rebalancing transactions is desired, TRANSACTION CLASS = RB**. The RB** filter is used against all rebalancing transactions. Users also have the option is filter on individual class codes also. 4. The LONG LONG term was discontinued and removed on 5/06/2003 by the IRS; therefore, all previous LONG LONG term designations will now fall under the LONG 20% label. The LONG LONG label will still display on the report, but will be all 0 s. The headings and labels were left on the report in case the LONG LONG Term returns in the future. 61

65 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - SPECTRA ACTIVITIES 4.5 CONSOLIDATED REPORTING Consolidated Reporting is used to generate one set of reports that combine Report Packages (see Section 5.4.2) from the various Activities such as Security Distribution, Fund Trend Analysis, Transaction Analysis or Pricing/Exchange Rate Trend CONSOLIDATED REPORTING REQUEST Select Consolidated Reporting from the Activities pull-down menu and the Consolidated Reporting Request dialog box is shown. To run a report, click on a Report Package(s) from the list of Available packages and select Add. To deselect a Report Package, click on the package from the Selected packages and then click on Remove. To change the order of the Selected packages, click on a package and then click on Move Up or Move Down. Only one package may be moved at a time. To move a different package, you must unselect the prior package. The list of Available and Selected packages is always prefaced with the Activity from which they were created. The following labels are used: LABEL SD FT PT TA DESCRIPTION Security Description Fund Trend Pricing/Exchange Rate Trend Transaction Analysis When you have completed your selection and ordering of the Report Package(s), clicking on OK will begin the process of running the reports. The output from the reports goes to either the printer or the file specified in each of the Report Packages or both. If there any errors encountered when running individual reports, a listing of the errors is placed into a file called REPORTS (located in the TEMP file as defined in your SET TEMP statement of your AUTOEXEC.BAT). At the conclusion of the run you are offered the chance to print out the listing of errors. Possible errors are listed below: Requested Dates are not valuation dates for the selected accounts Could not Load Group File (verify that the requested GROUP BY file is available) Clicking on Cancel ends the dialog box. 62

66 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM 5 USING THE SYSTEM 5.1 OVERVIEW Investment Accounting (InvestOne) Spectra is a Graphical User Interface (GUI) with standard Windows functions. The system is described using the action bar. The action bar contains the following pull-down menus: FILE Controls file downloads, printing, logon, and exit functions (Section 5.2). EDIT Provides copy/paste function. ACTIVITIES Controls navigation through the major Spectra activities (Section 5.3). FUNCTION Individual functions unique to the current activity (Section 5.4). TOOLS Launch utility programs without leaving CUI Spectra (Section 5.5). 63

67 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM 5.2 FILE FUNCTIONS (FILE) UPDATING DATA LISTS User-defined data must be downloaded by the user from the mainframe to utilize the Group By, Sort By and picklist function. These files are represented as data list (*.dat) files. See Appendix A.3 for a complete list of downloadable dynamic data lists. These downloads should be performed the first time the system is used, and whenever the user feels the associated data on the mainframe has changed enough to warrant a refresh of the data. To download data lists: Select File from the action bar Select Update Data Lists Select the appropriate data list name The All option refreshes all of the data lists, except Security Numbers which are an incremental update from the last download. To perform a complete Security Number refresh: Select File from the action bar Select Update Data Lists Select Security Numbers Reply No to Apply updates only? Notes on data lists downloads: 1. The Account download creates both an account listing and an account/class listing for use with Fund Trend Analysis. The account/class listing provides a separate listing of an account and each of the separate classes if it is a Multiple Class of Shares fund. 2. The accounts downloaded are only those accounts that the signed on user has access to. See Section of the Investment Accounting (InvestOne) System Manual for details on this function. 3. The Security download creates not only the database of securities, but also a listing of Expenses and Indices. 4. With the exception of the Security download, all downloaded files are ASCII text files. The security file is a Microsoft Access database and requires Microsoft Access or an Access file viewer to display in readable format. 5. When downloaded in UPDATES ONLY mode, the security database is updated for name changes of existing securities as well as new securities. 6. The default mode for the Security download creates a file of all non-matured securities on the user bank regardless if any accounts hold them. By changing the value of the OPTIONS (DOWNLOAD SECURITIES BY HOLDINGS) flag in INVEST1.APP file from N to Y only securities with current holdings are downloaded CHANGE PRINTER If you need to change your default printer set up: Select File from the action bar Select Change Printer 64

68 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM Please refer to Section 5 (Control Panel) in your Windows User's Guide for more information about the Windows default printer PRINTING The print procedure prints to the default Windows printer. To print: Select File from the action bar Select Print or Press <F12> RETURNING TO THE USER PROFILES DIALOG BOX To return to the User Profiles dialog box: Select File from the action bar Select Logon REPORT SETS It is possible to maintain multiple versions of report types for each activity. For instance, you may want one set of Security Distribution reports to select from for domestic funds, and a different set of reports for global funds. To change the active report set: Select Functions from the action bar Select the activity requiring the report set change Fund Trend Analysis Pricing/Exchange Rate Trend Security Distribution Transaction Analysis Select File from the action bar Select Report Sets Select Setup The following dialog box is displayed: To change the active report set to another report set, select one from the drop-down list and press OK. This set of reports is now available for the specified activity. 65

69 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM Investment Accounting (InvestOne)/Spectra is delivered with a set of standard graphs and reports. These are: DEFAULT.DIS for Security Distribution Reports DEFAULT.FND for Fund Trend Reports DEFAULT.INS for Pricing/Exchange Rate Reports DEFAULT.TRN for Transaction Analysis Reports To create a new report set, type in a new file name. It is recommended you use the prefix.dis for Security Distribution Reports,.fnd for Fund Trend Reports, and.ins for Price/Exchange Rate Reports. Report sets can be added, renamed or deleted using the above dialog box. Transfer of reports between sets can also be invoked. When adding or renaming a set, it is recommended that the suffix.dis for Security Distribution Reports,.fnd for Fund Trend Reports,.ins for Price/Exchange Rate Reports and.trn for Transaction Analysis Reports be used. ACTION ADD RENAME DELETE TRANSFER USE Enter the new report set name. Press OK to add it to the existing sets. Select the report set name to be changed. Press Rename and a dialog box is displayed. Enter the changes and press OK. Select the report set to be deleted. Press Delete and a verification box will require a response of YES to invoke the deletion. See Section Transfer Reports for details. 66

70 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM TRANSFER REPORTS It is possible to transfer reports from one report set to another. Suppose you created a new report set as described in Section 5.2.5, then you want to copy some existing reports into the new report set. To do this: Select File from the action bar Select Report Sets Select Setup Select the Transfer To report set from the Reports Sets dialog box The following dialog box appears: Select the FROM Report Set from the available list. The following dialog box will appear: CONTROL COPY>> <<COPY DELETE RENAME USE Used to transfer reports from report set 1 to report set 2. Select the reports from the list box on the left; then press the button. Used to transfer reports from report set 2 to report set 1. Select the reports from the list box on the right; then press the button. Used to delete reports from report sets. Select the reports to be deleted from either list box; then press the button. Used to rename reports in report sets. Select the reports to be renamed from either list box; then press the button. When both report sets are correct, press the OK button EXITING THE SYSTEM To exit the system: Select File from the action bar Select Exit from the list. 67

71 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM 5.3 ACTIVITIES The Activities pull-down menu allows you to move between the major Spectra activities: Security Distribution (See Section 4.1) Fund Trend Analysis (See Section 4.2) Pricing/Exchange Rate Trends (See Section 4.3) Transaction Analysis (See Section 4.4) Consolidated Reporting (See Section 4.5) If you entered Spectra through Investment Accounting (InvestOne)/CUI you may also to return to CUI by choosing the Common User Interface activity item. 5.4 FUNCTIONS NEW REQUESTS The Functions pull-down menu allows you generate a New Request by returning you to the current activities Report Request dialog box. 68

72 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM REPORT PACKAGES The second option is to work with Report Packages. This option allows you to store a preselected set of account numbers and reports to facilitate production of a package of reports with one request rather than individual report requests by funds. Selecting this option presents following dialog box: Control AS OF THRU ADD CHANGE DELETE OK CANCEL Use Date the report package is to be run for. For Security Distribution and position type Transaction Analysis reports, this must be a valuation date of the funds selected. Transaction Analysis report packages require an end period date for the report. This date must be a fund's valuation date if holdings are requested. Creates a new report package. Changes an existing report package. Deletes an existing report package. Selecting OK after selecting a report package and date runs the report package. The Cancel button ends the Report Package dialog box without running any reports. 69

73 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM Selecting Add or Change will take you to the Report Package Setup dialog box. Control NAME REPORT SET OUTPUT FILE FUNDS-AVAILABLE SELECT FIND FUNDS SELECTED REMOVE CLEAR UP DOWN OK CANCEL Use Name of the report package. Group of reports you wish to run. The report group selected must be of the type of the Activity you are in. This means that within Security Distribution, for example, the report sets (see Section 5.2.5) available are position type reports only. The Consolidated Reporting activity (see Section 4.5 for details) allows you to combine Report Packages together. PC file name to be used for text to file reports. All reports in the report set whose destination is a file will use this Output File. A list of funds that can be selected for the report package. Clicking on this button activates this view. When viewing the Funds-Available, clicking on an account will highlight it. After highlighting the accounts, click on the Select button to store the accounts for this report package. The view is then changed to the list of Funds-Selected. When viewing the Funds Available, this button brings up a find dialog box that allows you to search for a particular fund to be selected. A list of funds that have been selected to be a part of the report package. Clicking on this button activates this view. Selecting a fund by clicking on it and then clicking on this button will remove the fund from the selected list. Clicking on this fund removes all selected funds from the dialog box. Clicking on a fund and then clicking on this button moves the fund up the list of selected funds. The funds are run in the order displayed in this dialog box. Clicking on a fund and then clicking on this button moves the fund down the list of selected funds. The funds are run in the order displayed in this dialog box. Selecting OK stores the selections made for the Report Package. The Cancel button ends the Report Package dialog box without saving the changes made during the session. 70

74 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM 5.5 TOOL BOX (TOOLS) The Tools pull-down menu can be used to launch utility programs without leaving Investment Accounting (InvestOne)/Spectra. Select Tools from the action bar. Select the utility you wish to start. The user may define the tools displayed in the toolbox. Refer to Appendix A.4 for more information. 71

75 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - USING THE SYSTEM 5.6 ONLINE HELP (HELP) Investment Accounting (InvestOne)/Spectra help is available for activities. Select Help from the action Bar Select Help To view the Help index: Select Help from the action Bar Select Help Index (The help index will appear) Select a topic Select View 72

76 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS APPENDIX A - FILE FORMATS SCRIPT FILES (*.SCR) Script files are used to process a series of keystrokes necessary to establish, maintain, and leave a 3270 session automatically from Investment Accounting (InvestOne)/Spectra. For Investment Accounting (InvestOne)/Spectra, a script must be written to advance you from the initial host screen (VTAM screen), to the CICS banner, recover if the host disconnects, and returning from Investment Accounting (InvestOne) to the VTAM screen. Script files for remote clients are delivered with Investment Accounting (InvestOne)/Spectra. Script files for installed clients must be tailored by the client to conform to site-specific logon procedures. See Section A.1.3 for a sample script used for remote clients. The script language works with a series of function calls (see A.1.1) and Tags (see A.1.2). These files are ASCII files that can be created and edited with any text editor. For this example we are using the Windows Notepad. If you are unfamiliar with the Windows Notepad, refer to Chapter 10 (Additional Accessories) in your Windows User's Guide. 73

77 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS SCRIPT FUNCTIONS A script is created with a series of functions that interact with the host and the user. All of the script functions are case sensitive, so all functions must be lowercase and immediately followed by the ( character. The script functions in the following list are given in this section. cursorat( ) display( ) displayoff( ) enterstring( ) ifgoto( ) ifnotgoto( ) fail( ) goto( ) kill( ) password( ) presskey( ) telluser( ) typeopername( ) typestring( ) typeuserstring( ) waitfor( ) waitforever( ) wait( ) Wait for Cursor At Display Status Message Turn Status Message Off Entering a String Conditional Branching Conditional Branching Avoid Processing Past the Logon Module Branch Script to a Tag Abend the Application Type Password Press an Action Key Display a Message and Wait Type the Operator Name Type a String Type a String from the User Wait for a Host Screen Wait for a Host Screen Wait for a Specified Time CURSORAT( ) - WAIT FOR CURSOR AT Use this function when you need to wait for the cursor to appear at a specific location on the screen. syntax: cursorat(row,column) PARAMETER Row Column USE Integer representing the screen row where the cursor must be to continue processing. Integer representing the screen column where the cursor must be to continue processing. For example, to wait for the cursor at row 1 column 12 you would use: cursorat(1,12) DISPLAY( ) - DISPLAY STATUS MESSAGE Use this function when you would like to display a message window while the script is processing. syntax: display(title,message) 74

78 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS PARAMETER Title Message USE Title to use for the message window Message to be displayed For example, to display a message indicating you are connecting to the host you could use: display(logon,connecting to the host,please wait) DISPLAYOFF( ) - TURN STATUS MESSAGE OFF Use this function to make a message window created with the display( ) function invisible. syntax: displayoff( ) PARAMETER None USE For example, to turn the message window created in Section A.1.2 off you would use: displayoff( ) ENTERSTRING( ) - ENTERING A STRING Use this function to type a string at the current cursor position and press the enter key. syntax: enterstring(text) PARAMETER Text USE The string to be typed before pressing enter. For example, to center CICSCAT0 you would use: enterstring(cicscat0) see also: typestring( ) presskey( ) 75

79 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS IFGOTO( ) - CONDITIONAL BRANCHING Use this function to jump to a different line in the script based on a character string on the screen. syntax: ifgoto(string,tag) PARAMETER String Tag USE String to search for on the current host screen. Tag identifying where to go in the script if the String is found. NOTE: Do not include the colon. For example, to go to a tag InvalidLogon: in the script if INVALID is found on the screen you would use: ifgoto(invalid,invalidlogon) IFNOTGOTO( ) - CONDITIONAL BRANCHING Use this function to jump to a different line in the script based on if the screen does not contain a specific character string. syntax: ifnotgoto(string,tag) PARAMETER String Tag USE String to search for on the current host screen. Tag identifying where to go in the script if the String is not found. NOTE: Do not include the colon. For example, to go to a tag Exit: in the script if you are not at the Investment Accounting (InvestOne) banner screen you would use: ifnotgoto(iiiiiiii,exit) FAIL( ) - AVOID PROCESSING PAST THE LOGON MODULE Use this function to avoid letting the user past the logon module. This function should always be called within the CancelTag in the password( ) function. syntax: fail( ) PARAMETER None USE For example, if the user cancels from the password( ) function you would include the following line in the CancelTag section of the script: fail( ) see also: password( ) 76

80 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS GOTO( ) - BRANCH SCRIPT TO A TAG Use this function to cause the script processor to skip to the line containing the specified Tag. syntax: goto(tag) PARAMETER Tag USE Name of the Tag where the script should continue processing. NOTE: Do not include the colon. For example, to go to the Exit: tag you would use: Go to(exit) KILL( ) - ABEND THE APPLICATION This function causes the entire CUA/Spectra application to cease processing. Use this function only if there is no graceful recovery from the user s current position. syntax: kill( ) PARAMETER None USE For example, to cease CUA/Spectra you would use: kill( ) PASSWORD( ) - TYPE PASSWORD The password( ) function will cause a window to be displayed requesting a password from the user. When the user selects OK the password is typed at the current cursor location. If the user selects Cancel, script processing will continue at the CancelTag specified in the function call. syntax: password(title,label,canceltag) PARAMETER Title Label CancelTag USE Title to be used for the password window. Tag to be used in front of the password entry field. Name of the Tag where the script should continue processing if the user selects Cancel. NOTE: Do not include the colon. For example, to prompt the user for their CICS password you could use: password(cics Password,Password:,TryAgain) 77

81 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS PRESSKEY( ) - PRESS AN ACTION KEY The presskey( ) function allows you to simulate pressing specific keys from the keyboard. syntax: presskey(key) PARAMETER Key USE Name of the key to press. Valid values are: BACKTAB CLEAR HOME PA1 - PA3 PF1 - PF24 RETURN TAB For example, the clear the screen you would use: presskey(clear) TELLUSER( ) - DISPLAY A MESSAGE AND WAIT The telluser( ) function displays a message to the user and waits for the user to press OK before continuing processing. syntax: telluser(title,message) PARAMETER Message USE Message to be displayed. For example, if you wanted to tell the user the password is invalid you could use: telluser(invalid Password,You entered an invalid password) TYPEOPERNAME( ) - TYPE THE OPERATOR NAME Use this function to type the value entered in the CICS Oper Name field from the User Profile dialog box (see Section 3.2.2) at the current cursor location. If the value is blank, the user is prompted for an operator name. syntax: typeopername(canceltag) PARAMETER CancelTag USE Name of the Tag where the script should continue processing if the user is prompted for an operator name and selects Cancel. NOTE: Do not include the colon. For example: typeopername(tryagain) 78

82 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS TYPESTRING( ) - TYPE A STRING The typestring( ) function is used to type a string at the current cursor location without pressing enter. syntax: typestring(text) PARAMETER Text USE String to type. For example, to type OPER FOUR at the current cursor location you would use: typestring(oper FOUR) see also: enterstring( ) presskey( ) TYPEUSERSTRING( ) - TYPE A STRING FROM THE USER The typeuserstring( ) function will prompt the user for a string during the script processing, then type the user supplied string at the current cursor location. syntax: typeuserstring(title,label,canceltag) PARAMETER Title Label CancelTag USE Title to be used for the prompt window. Tag to be used in front of the entry field. Name of the Tag where the script should continue processing if the user selects Cancel. NOTE: Do not include the colon. For example, if you wanted to ask the user for a VTAM ID you might use: typeuserstring(vtam Login,Name,Try Again) 79

83 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS WAITFOR( ) - WAIT FOR A HOST SCREEN The waitfor( ) function is used to suspend script processing until a specific string appears at a specific location on the host screen or until the Giveup Time supplied in the User Profile dialog box (see Section 3.2.2) has passed. syntax: waitfor(string,row,column) PARAMETER String Row Column USE Text string to wait for. Integer representing the screen row at which the string will appear. Integer representing the screen row at which the string will appear. For example, to wait for WELCOME at row 1 column 2 you would use: waitfor(welcome,1,2) WAITFORELSE( ) - WAIT FOR A HOST SCREEN The waitforelse( ) function is used to suspend script processing until a specific string appears at a specific location on the host screen or until the Giveup Time supplied in the User Profile dialog box (see Section 3.2.2) has passed. In which case, it goes to Tag. syntax: waitforelse(string,row,col,mseconds,tag) PARAMETER String Row Column Mseconds Tag USE Text string to wait for. Integer representing the screen position to wait at. Integer representing the screen position to wait at. The maximum number of 1000ths of seconds to wait. The script tag to goto if the wait is unsuccessful. If the wait is successful, then script processing will continue on the next line. For example, to wait for WELCOME at row 1 column 2 for one second and then go to ERRORS if not: waitforelse(welcome,1,2,1000,errors) 80

84 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS WAITFOREVER( ) - WAIT FOR A HOST SCREEN The waitforever( ) function is used to suspend script processing until a specific string appears at a specific location on the host screen or the user closes the Investment Accounting (InvestOne) window. syntax: waitforever(string,row,column) PARAMETER String Row Column USE Text string to wait for. Integer representing the screen row at which the string will appear. Integer representing the screen column at which the string will appear. For example, to wait for ENTER APPLICATION at row 23 column 20 you would use: waitforever(enter APPLICATION,23,20) WAIT( ) - WAIT FOR A SPECIFIED TIME The wait( ) function is used to suspend script processing for a specified number of seconds. syntax: wait(seconds) PARAMETER Seconds USE Number of seconds to suspend script processing. For example, to wait for 2 seconds you would use: wait(2) 81

85 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS SCRIPT TAGS Within a script you may define any number of tags to control processing. These tags are nothing more than line markers for decision logic. Tags must start in column 1 on the line they reside, and must be followed immediately by a colon :. To create a tag called TryAgain you would type TryAgain: in column 1 of a line in the script. Tags have no affect on script processing except when named in the ifgoto(), ifnotgoto(), goto(), password(), typeopername(), or typeuserstring() functions. The only exception to this rule is required tags needed for CUI/Spectra processing. They are discussed in the following sections. LOGOFF TAG This tag is used to tell CUI/Spectra how to exit Investment Accounting (InvestOne) and return to the initial host screen. For example, this is the standard Logoff: tag followed by the necessary function calls for Investment Accounting (InvestOne) remote customers: Logoff: presskey(clear) enterstring(cssf LOGOFF) fail( ) goto(exit) CHECKSCREEN TAG The script is processed from the CheckScreen: tag every time the host screen changes. This allows the user to check for a recover from host abends, security timeouts, etc. For example, this is the standard CheckScreen: tag followed by the necessary function calls for Investment Accounting (InvestOne) remote customers: CheckScreen: ifgoto(cics ABEND,CICSAbend) ifgoto(dfh2312,timeout) goto(exit) LOSTCONNECTION TAG When CUI/Spectra has determined it has lost the connection to the host it starts processing the script at the LostConnection: tag. The functions following the LostConnection: tag should attempt to return to the Investment Accounting (InvestOne) main menu. If the script is unable to reconnect, the fail( ) function must be called. For example, this is the standard LostConnection: tag followed by the necessary function calls for Investment Accounting (InvestOne) remote customers: LostConnection: display(host Disconnected,Waiting for VTAM) waitforever(enter APPLICATION,23,20) go to(vtam) 82

86 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS SAMPLE SCRIPT The following is a sample script that is used by Investment Accounting (InvestOne) remote customers. It can be found in your installation directory as file CICSCAT0.SCR. VTAM: GVTAM: Logon: ifgoto(application,gvtam) telluser(host Not at VTAM-Contact Tech Support) fail() goto(exit) enterstring(logon CICSCAT0) waitfor(welcome,1,2) presskey(clear) enterstring(cssn) typeopername(logoff) presskey(tab) password(password,password:,logoff) presskey(enter) ifgoto(invalid,invalidpassword) presskey(clear) enterstring(fund) ifnotgoto(iiiiiiii,exit) presskey(enter) goto(exit) InvalidPassword: telluser(password is invalid) goto(logon) Logoff: CheckScreen: CICSAbend: TimeOut: LostConnection: presskey(clear) enterstring(cssf LOGOFF) fail() goto(exit) ifgoto(abend,cicsabend) ifgoto(dfh2312,timeout) goto(exit) abendmessage(abend,1,abend) presskey(clear) enterstring(fund) goto(exit) telluser(cics has timed out) goto(logon) display(host Disconnected,Waiting for VTAM) waitforever(enter APPLICATION,23,20) goto(vtam) Exit: 83

87 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS USER PROFILE (*.PRF) User profiles contain preferences, system information, and communications options. All options are editable in the User Profile dialog box except where noted. See Section 3.2. Line 1 Line 2 Description of profile which appears in the User Profiles dialog box. Initial program invoked after the logon procedure is complete. Valid Values: SUNCUA I1SPEC I1DIST I1FND I1INS I1TRN I1CRPT Enterprise/CUI Enterprise/Spectra Security Distribution Module Fund Trend Analysis Module Pricing/Exchange Rate Trend Module Transaction Analysis Consolidated Reporting Line 3 Line 4-8 Line 9 Line 10 Application definition file which contains the application characteristics. This value should always be INVEST1. The last settings selected in CUI for screen fonts and colors. Editor Mode Flag. A setting of FALSE prevents a user from accessing Editor mode. It also forces a user to pick only screens that are listed in the MAIN.MNU file listed in their profile. Directory containing CUI screen definitions. (Field Path) Note: Folder paths must be stated in DOS (8.3) format 84

88 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS Line 11 Line 12 Line 13 Line 14 Line 15 Line 16 Line 17 Line 18 Line 19 Line 20 Directory containing data lists. (List Path) Note: Folder paths must be stated in DOS (8.3) format Directory containing help messages. (Help Path) Note: Folder paths must be stated in DOS (8.3) format Directory containing demo files. (Demo Path) Note: Folder paths must be stated in DOS (8.3) format Emulator session short name. (Default Session) Host operator ID. (CICS Operator) The amount of time (in 1000ths of seconds) the Input Inhibited indicator in the 3270 Operator Information Area (OIA) must remain gone before Spectra can accept a host screen. (Settle Time) Maximum amount of time (in 1000ths of seconds) to wait for a host response. (Giveup Time) Bitmap file name used in CUI logo box. Script filename. (Script) File name of the Activity listing use in CUI's NEXT function. Default value is MAIN.MNU. Line 21 Communication type. Always Line 22 Line 23 Line 24 Line 25 Line 26 European date format flag. Flag that determines whether CUI error messages will appear in a pop up box or on the bottom of the screen. The last selection made by the user is automatically saved. Not currently used. CICS login program. Not currently used. CICS logoff program. Not currently used. Within the [I1SPEC] Section Line 1 Currently selected Security Distribution report set (see Section 5.2.5). Line 2 Currently selected Fund Trend Analysis report set (see Section 5.2.5). Line 3 Currently selected Pricing/Exchange Rate Trend report set (see Section 5.2.5). Line 4 Currently selected Transaction Analysis report set (see Section 5.2.5). 85

89 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS DATA LISTS (*.DAT) Data lists contain tables that are loaded into pop-up dialog boxes, and are used for grouping data. In order to process the tables correctly each file must contain a header record that describes the table. The header record highlighted below contains three positional parameters separated by characters. Parameter 1 Title to be used for pop-up dialog boxes (ACCRUAL CODE). Parameter 2 Column number in which data starts (41). Parameter 3 Number of lines in this dataset, including the header record (14). This list below specifies the static data lists supplied:.dat Name AAEMD.DAT ACACTYP.DAT ACADVSR.DAT ACAITL.DAT ACAITL1.DAT ACAMRTS.DAT ACCFEEOP.DAT ACCRCOD1.DAT ACCRCOD2.DAT ACCRCODE.DAT ACCTCAL.DAT ACCTIND.DAT ACCTTYPE.DAT ACCUMTH.DAT Description AMORT/ACCRETE TO EFFECTIVE MATURITY DATE FUND CATEGORY ADVISOR ACCOUNTING TAXLOT FOR ACCR T/N OPTION TAXLOT FOR ACCR T/N OPTION AMORT SHORT ACCRUAL/FEE OPTION ACCRUAL CODE ACCRUAL CODE ACCRUAL CODE ACCOUNT CALENDAR ACCOUNT INDICATOR ACCOUNT TYPE ACCRUAL METHOD 86

90 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name ACINEQ.DAT ACINOP.DAT ACJPDA.DAT ACJPST.DAT ACLSFLG.DAT ACMBSF.DAT ACMYTM.DAT ACSVTLA.DAT ACSWP.DAT ACTCODE.DAT ACTION.DAT ACTIONCT.DAT ACTIONR.DAT ACTIVATE.DAT ACTOLF.DAT ACTTRAD.DAT ACTXPRJ.DAT ACWASH.DAT ACYLD.DAT ADJINCO.DAT AEDMULT.DAT AGRP.DAT AIOBOSB.DAT AIOBOSB1.DAT AIOBOSB2.DAT AIOPT.DAT ALL.DAT ALLIND.DAT ALLOCRE.DAT ALOCTY.DAT ALTSS.DAT AMMETHOD.DAT AMORT-AC.DAT AMORTBOD.DAT AMORTCAL.DAT AMORTFLG.DAT AMORTOPT.DAT ASSETGRP.DAT ATYPE.DAT AYLD.DAT BASELOC.DAT BASIS.DAT BENCH01.DAT BGREPT.DAT BLSOPT.DAT BONDCODE.DAT BROCAL.DAT CAASSET.DAT CADI.DAT CAFRAC.DAT CALPAT.DAT CAMO.DAT CAONTR.DAT Description INCOME EQUALIZATION PUCH/SOLD INT OPT ACCRUE DIVIDENDS JAPAN SECURITY CRITERIA LONG/SHORT MBS ORIGINAL FACE FLAG MOD YTM ARCHIVE TAXLOT AMORT RECORDS SWEEP/TRANSLATE DEFAULT OPTION ACTCODE ACTION SCREEN ACTION ACTIONR ACTION CODES CONFIRM TOLERANCE CHECK COST ASSIGNMENT TRADE OVERRIDE FLAG PROJECTED TAX RATE WASH SALE ADJ GEN MONEY MARKET YIELD ADJUST INCOME CODE MULT PARMEU ELIGIBLE ASSET GROUPS ACCR INCM OPT ACCR INCM OPT ACCR INCM OPT ACCRUED INCOME OPTION PROCESS ALL FLAG PROCESS ALL ACOUNTS A/R OPTION M/F OPTION ALTERNATE SHORT SALE OPT AMORT/ACCR METHOD AMORTIZATION/ACCRETION AMORTIZATION BOUNDARIES AMORTIZE TO CALL AMORTIZATION FLAG AMORTIZATION OPTION ASSET GROUP ALLOCATION TYPE AYLD OPTION BASE/LOCAL BASIS BENCHMARK FLAG BACKGROUND REPORT FLAG BASE/LOCAL BOND CODE BROWSER CALENDAR OPTION COST ASSIGNMENT ASSET GROUP DATA INDICATOR FRACTIONAL SHARE INDICATOR CALENDAR PATTERN MANDATORY/OPTIONAL FLAG CORPORATE ACTIONS ON TRADES 87

91 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name CAPROC.DAT CASHPROC.DAT CASTATUS.DAT CATYP1.DAT CATYPE.DAT CATYPE1.DAT CCTMODE.DAT CFUSRFL.DAT CHGALL.DAT CLPRFTP.DAT CLSERPT.DAT CLSHOPT.DAT CM00.DAT CNTYCURR.DAT CNTYPLP.DAT COLLTYP.DAT COMMIND.DAT CONFIR.DAT CONFIRM.DAT CONTLGSH.DAT CONTRA.DAT CONTTYPE.DAT COPTN.DAT CORPCOST.DAT CORPTAX.DAT COSTASG.DAT COSTCODE.DAT COSTIND.DAT CTLVEL.DAT CTRTYP.DAT CTTYPE.DAT CANAMD.DAT DATASRC.DAT DAYCNTD.DAT DAYCNTO.DAT DAYMODE.DAT DBASIS.DAT DEALEXP.DAT DEMIN.DAT DEPSSORT.DAT DFLTPRI.DAT DISPOPT.DAT DISPPQ.DAT DIVINT.DAT DIVREIN.DAT DLYDIVD.DAT DMODE.DAT DFREQ.DAT DSPMODE.DAT DTRLF.DAT ELIGMODE.DAT EMUFXOPT.DAT EQOPTION.DAT Description CORP-ACT PROCESS CASH PROCESSING CODE STATUS CORP ACTION TYPE CORP ACTION TYPE CORP ACTION TYPE MODE C/F USER DEFINED FIELDS CHANGE ALL SECURITIES PERFORMANCE VALUE CODES CLOSED END REPORT REQUEST CLASSES OF SHARES OPTION COMMITMENT FLAG CNTRY / CURR SORT ISSUE CNTRY COLLATERAL TYPE COMMISSION INDICATOR CONFIRMATION FLAG CONFIRMATION FLAG CONTRACT LONG/SHORT CONTRA EXPENSE CONTRACT TYPE CURRENCY BALANCE OPTION COST INDICATOR CORPORATION TAX CALCULATION COST ASSIGNMENT OVERRIDE/TAXLOT CODE COST ASSIGNMENT/TAXLOT CODE COST INDICATOR CATEGORIZATION LEVEL CONTRACT TYPE CATEGORIZATION TYPE MODE DATA SOURCE DAY COUNT DEFAULT DAY COUNT OPTIONS DAY MODE BASIS DEALING EXPENSE DE MINIMUS DETERMINATION SORT OPTIONS DEFAULT PRICE FOR CAPITAL TRANS DISPLAY OPTION DISTRIBUTION SCOPE PERIOD QUALIFER DIV/INT INDICATOR DIVIDEND REINVEST DAILY DIVIDEND FUND PRICE DISPLAY MODE OF OPERATION DISTIBUTION FREQUENCY DISPLAY MODE DOUBLE TAXATION RELIEF SELECTION MODE EMU FX OPTION FLAG EQUITY REPORTING OPTIONS 88

92 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name EVENT.DAT EVENTYPE.DAT EXCHFEE.DAT EXCLMF.DAT EXCLMGT.DAT EXCLSCT.DAT EXDATE.DAT EXONLY.DAT EXPAND.DAT FEEPREM.DAT FETYPE.DAT FILEOPT.DAT FILID.DAT FILSEG.DAT FIMSOPT.DAT FIXEDEXP.DAT FLDFLAG.DAT FORM13F.DAT FRANK.DAT FRQST.DAT FSOPT.DAT FUNC.DAT FUNC01.DAT FUNDCAL.DAT FUTGLT.DAT FUTOPTT.DAT FXCRSRT.DAT FXDATOP.DAT FXGL.DAT FXINCOPT.DAT GAINLOSS.DAT GCRTYPE.DAT GENERATE.DAT GLDOPT.DAT GLEQOPT.DAT GLRPT.DAT GLTERM.DAT GPR.DAT GRNA01.DAT GROSSUP.DAT GRPHIER.DAT HDGTYP.DAT HDRDTL.DAT HOLDFLAG.DAT HOTFLAG.DAT HVDIVD.DAT HVPREC.DAT HVREIN.DAT IAMADJS.DAT IAPOFLG.DAT INACM.DAT INCAFUN.DAT INCMOPT.DAT Description INCOME EVENT MARKER EMU EVENT TYPE EXCHANGE FEE AUTO CALC EXCLUDE MGT FEES EXCLUDE MANAGEMENT FEES EXCLUDE SCTY TRADED/SETTLED SHARES EXCEPTIONS ONLY FLAG EXPAND FLAG SWAP FEE/PREMIUM FEE BASIS DATA FILE FILE ID FILE SEGMENT AVG DAYS/YRS TO MATURITY OPTION FIXED EXPENSE AMOUNT TYPE TRUDF NUMERIC FLAG FORM 13F FLAG FRANKED/UNFRANKED STALE PRICING FREQUENCY REPORT OPTIONS FUNCTION FUNCTION FUND CALC.MARKER OVERRIDE SEC G/L TREATMENT CONTRACT TYPE FX CROSS RATE TO USE FX DATE OPTION F/X G/L OPTION FX GAIN/LOSS ON INCOME OPTION GAIN/LOSS CODE FOR AMORT/ACCRET FINAL TYPE SECURITY DETERMINATION GNMA/TRAN GENERATION G/L DISPLAY OPTION OPTION BATCH REPORTS GAIN/LOSS TERM FLAG GLOBAL PACKAGE REPORTS ASSET GROUP GROSS UP CALAUSE MARKER HIERARCHICAL VALUATION FLAG HEDGE TYPE HEADER/DETAIL FLAG HOLD FLAG HOT ISSUE FLAG HIER VALUATION DIVIDEND OPTION HIERARCHICAL VALUATION DECIMAL HIER VALUATION REINVEST OPTION IRREC ACT FIXED ZERO IRREC ACT OVERRIDE FLAG INACTIVE REPAYMENT PROCESSING FUNCTION INCOME & GAIN/LOSS REPORTING OPTIONS 89

93 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name INCPC.DAT INTERNAL.DAT INVSLEV.DAT INVSOPT.DAT IO-IDEE.DAT IRTRCODE.DAT ISSUED.DAT L3DATA.DAT LAGDAYS.DAT LAGFLAG.DAT LIND.DAT LOADNL.DAT LOCLPROC.DAT LSFLAG.DAT MASSAPR.DAT MASTFED.DAT MBSFACT.DAT MGMTTYP.DAT MKTDISC.DAT MODE.DAT MODEAT.DAT MOODY.DAT MRMT.DAT MSG.DAT NAICCODE.DAT NASAPR.DAT NASDOP.DAT NASDTMC.DAT NASFDFN.DAT NASSND.DAT NAVDISP.DAT NAVID.DAT NAVIOPT.DAT NAVOPT.DAT NAVQUOTE.DAT NOTEACT.DAT NOTSTAT.DAT NQOPT.DAT NUNITS.DAT OCFLAG.DAT OID.DAT OPTCODE.DAT OPTCONT.DAT CPTCONT2.DAT OPTEURO.DAT OPTOTC.DAT OPTPC.DAT OVRAV01.DAT OVRDFLG.DAT PA.DAT PALLA.DAT PAYFREQ.DAT PAYFREQ1.DAT Description INCOME PROCESSING CODE INTERNAL FLAG EUSD LEVEL OPTION IO IDEE ACCT IND TRANSACTION CODES ISSUED SECURITY INDICATOR ADDITIONAL TAXLOT INFORMATION LAG DAYS METHOD LAG CORPORATE ACTIONS LOCAL INDICATOR LOAD/NO LOAD LOCAL PROCESS LONG/SHORT MASS APPROVAL MASTER/FEEDER INDICATOR MORTGAGE BACKED POOL BALANCES FEE BASIS TYPES MKT DISC AT POINT OF SALE OPTIONS MODE MODE MOODY RATING MORTGAGE RELATED FLAG MESSAGE NAIC CODE NASDAQ APPROVAL DISPLAY OPTION DTM CALC OPTION NASDAQ FOOTNOTE NASDAQ SEND NAV DISPLAY OPTION ID NAV IMPACT OPTIONS YIELD AT NAV NAV QUOTE OPTION NOTE ACTION NOTE STATUS SELECTION NASDAQ OPTIONS NOTIONAL UNITS ROUNDING OPTION TRANSACTION CAPTURE FLAG OID PROCESSING TRANSACTION CODES CONTRACT TYPE CONTRACT TYPE EUROPEAN STYLE FLAG OTC FLAG (INFO ONLY) PUT / CALL FLAG OVERRIDE AVERAGE SHARES TAX OVERRIDE FLAG PRINCIPAL / AGENT FLAG All ACCOUNTS PAYMENT FREQUENCY PAYMENT FREQUENCY 90

94 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name PAYFREQ2.DAT PAYMTH.DAT PAYOPT.DAT PAYTYP.DAT PBOST.DAT PDACTFL.DAT PDOPT.DAT PENDACT.DAT PENDTYP.DAT PEPSTAT.DAT PERSH.DAT PFALOC.DAT PFCMGM.DAT PGLACR.DAT PLALOC.DAT PONLY.DAT PONX2.DAT PRCALL.DAT PREC.DAT PRFQGP.DAT PRFREQ.DAT PRICCODE.DAT PRICEPRO.DAT PRICESRC.DAT PRICETYP.DAT PRICEFREQ.DAT PRIPROT.DAT PROOPT.DAT PSIO.DAT PSORT.DAT PSYLD.DAT PUNCH.DAT R2A7.DAT RATECHG.DAT RATECHG1.DAT RATECHG2.DAT RATESRT.DAT RATETYP.DAT RATETYP1.DAT RATETYP2.DAT RBINTRV.DAT REBOOK.DAT RECLSTAT.DAT RECTYP.DAT RECTYPE.DAT RECTYPET.DAT REDPPQ.DAT REFSRC.DAT RELALL.DAT RELOPT.DAT REPORTS.DAT REPTYN.DAT REQTYPE.DAT Description PAYMENT FREQUENCY INCOME PAYMENT METHOD SA PAYOUT OPTION PAYMENT TYPE BONDS/STOCKS ACTIVE FLAG PAYDOWN COST OPTION PENDING ACTION PENDING/ACTIVE FLAG PEP (PERSONAL EQUITY PLAN) STATUS PER SHARE POOL ALLOCATION CASH MANAGEMENT P-RULE POOL ALLOCATION EXCEPTIONS ONLY EXCEPTIONS ONLY PRICE ALL PRECISION PRICE FREQUENCY GROUP PRICE FREQUENCY PRICE CODE PRICE PROCESSING CODE PRICE SOURCE PRICE TYPE PRICE FREQUENCY PRICE PROTECT PROFILE OPTION PURCH/SOLD INTEREST OPTION EXCEPTIONS SORT YIELD PRICE UNCHANGED 2A7 FLAG RATE CHANGE FREQ RATE CHANGE FREQ RATE CHANGE FREQ SORT OPTION ANNUAL RATE TYPE ANNUAL RATE TYPE ANNUAL RATE TYPE REBOOK INTERVENING FLAG REBOOK FLAG RECLAIM STATUS RECORD TYPE RECORD TYPE TRANSACTION ANALYSIS RECORD TYPE REDEMPTION SCOPE PERIOD QUALIFER ASSET EVENT SOURCE RELEASE ALL RELEASE OPTION REPORTS ALLOCATION DIAGNOSTICS REPORT REQUEST TYPE 91

95 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name RESTRC.DAT REVRACT.DAT REVSUB.DAT RMODE.DAT RNDOPT.DAT RNDOPTN.DAT ROUNDG.DAT ROUNDOP.DAT RPTALTS.DAT RPTCASH.DAT RPTHEAD.DAT RPTSCTY.DAT RPTSL.DAT RSTROO.DAT RVINTRV.DAT S&P.DAT SANDP.DAT SCATLEV.DAT SCATTYPE.DAT SCCOMPO.DAT SCDFORN.DAT SCHDATYP.DAT SCHDBDFT.DAT SCHDBSTR.DAT SCHDCLAS.DAT SCHDQUAL.DAT SCOPEIN.DAT SELMODE.DAT SELTOPT.DAT SEPFLAG.DAT SEQUENCE.DAT SET.DAT SHOWFC.DAT SHROPTN.DAT SLCTOPT.DAT SORT.DAT SPECMSTR.DAT SPOTEXPT.DAT SPOTOPT.DAT SRCNACT.DAT STATE.DAT STATUS.DAT STLALL.DAT SUPPRESS.DAT SVALUMT.DAT SWEEP.DAT SWINCGL.DAT SWPACC.DAT SYSGDT.DAT TAXA.DAT TAXFLAG.DAT TAXMETH.DAT TAXS.DAT Description DATE LIMITATION REVALUATION ACTION REVALUATION SUBMIT TYPE MODE ROUNDING OPTIONS ROUNDING OPTIONS ROUNDING OPTION ROUNDING OPTION ALTERNATE SEQUENCE REPORT AS CASH HEADER FIELD REPORTING SECURITY REPORT SELECTION RESTRICTION FLAG REVERSE INTERVENING FLAG S & P RATING S & P RATING SECURITY CATEGORIZATION LEVEL SECURITY CATEGORIZATION TYPE COMPOUNDING OPTION US/CANADIAN/FOREIGN ASSET TYPE BOND IN DEFAULT BOND STRUCTURE CLASS QUALIFIER EUSD IN SCOPE INDICATOR SELECT MODE SELECTION OPTION SEPARATE ACCOUNT SWEEP FLAG SEQUENCE SET FACE/COST INCLUSION OPTION OPTION DAEX CODE OPTIONS SORT SPECIAL MASTER TRUST DETERMINATION SPOT EXPIRATION TREATMENT SPOT OPTION ACTION STATE CODE STATUS SETTLE ALL TRANSACTIONS SUPPRESS SPOT VALUATION METHOD SWEEP OPTION INCOME - GAIN/LOSS POST ACCRUAL FOR SWAP POSITIONS SYSTEM GENERATED VALUATION DATES TAX STATUS TAX FLAG TAX METHOD TAXES 92

96 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS.DAT Name TBAFL.DAT TBBUF.DAT TBDEC.DAT TBFXDT.DAT TBLUF.DAT TBRND.DAT TBTS.DAT TDVOPT.DAT TESTAC.DAT TISMRK TLONAVO.DAT TLONAVQ.DAT TRADEICR.DAT TRANCODE.DAT TRANGEN.DAT TRDSTL.DAT TRSTLF.DAT TSTATUS.DAT UDTRULE.DAT UDTRULE1.DAT UNDEROPT.DAT UNITSRD.DAT UNSTAT.DAT VALUBAS.DAT VCUSP.DAT YLAG.DAT ZBALR.DAT Description TBA FLAG BASE UNIT COST / FACTOR DECIMAL PLACES FX DATE OPTIONS LOCAL UNIT COST / FACTOR ROUNDING OPTIONS SHARE BASIS TRADE DATE VIEW INDICATOR TEST ACCOUNT FLAG (BATCH SWEEP) TIS METER MARKER TL OEIC NAV OPTION TL OEIC NAV QUOTE OPTION TRADEICR TRANSACTION CODES TRANSACTION GENERATION TRADED/SETTLED SHARES TRADE / SETTLE FLAG TRANSACTION STATUS USER DATE RULES USER DATE RULES UNDERLYING SECURITY OPTION UNITS ROUNDING UNSTAT VALUATION BASIS VALUATION CUSIP/SORT LAG Z-RULE DOWNLOADABLE LISTS The following data lists can be automatically downloaded through Investment Accounting (InvestOne)/CUI: FILE NAME MAINFRAME SCREEN DESCRIPTION ACCOUNT.DAT I1ACB Account Numbers ACCTCLAS.DAT I1ACB Account Numbers with Account Class (Downloaded with Account Numbers) BROKER.DAT I1BR Broker Codes COMMREAS.DAT MDCR Commission Reason Codes COUNTRY.DAT MDCT Country Codes CURRENCY.DAT MDCU Currency Codes DESCCODE.DAT I1BR Transaction Description Codes (NOTE: The F segment of the broker file is downloaded) EXPENSE.DAT I1SCB Expense Qualifiers (Downloaded with Security Numbers) GUARNTO.DAT MDGD Guarantor Codes I1DATA.MDB I1SCB Securities INC_EXP.DAT I1CTB Income/Expense Categorization (Downloaded with Security Categorization) 93

97 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS FILE NAME MAINFRAME SCREEN DESCRIPTION INDEX.DAT I1SCB Market Indices INDUSTRY.DAT MDINMF Industry Codes ISSUER.DAT MDIS Issuer Codes JOBS.DAT JOBBR Job Destination Names MODEL.DAT I1SCB Model Securities (Downloaded with Security Numbers) OPERATOR.DAT MDOP Operators PARMETER.DAT PARMBR Report Parameter Names SCTYCATS.DAT I1CTB Security Categorization SECURITY.DAT I1SCB Security Numbers (Includes Security Number, Date and Qualifier). Note the files I1DATA.* are also created. These files contain a Microsoft Access database holding the actual security data list. SECURITY.DAT holds only the date and record counts. NOTE: The file I1DNLD.LST file found in the LISTS directory contains the list of downloadable files. 94

98 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS TOOLS LIST (TOOLS.LST) The Tools pull-down is a launching pad for other programs, command files, or batch files. It is loaded dynamically at start up from the file TOOLS.LST. This file can be edited with any text editor. Each line contains two positional parameters separated by a. To the left of the enter the description of the program to be launched. To the right enter the command line used to launch the program. NOTE: The ~ character in the program description designates the following character as the keyboard equivalent of selecting that line. 95

99 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS ITEM LISTS (I1*ITM.LST) For each Spectra activity there is a list of valid items: ACTIVITY ITEM LIST FILE Security Distribution i1disitm.lst (see Section 4.1) Fund Trend Analysis i1fnditm.lst (see Section 4.2) Pricing/Exchange Rate Trends i1insitm.lst (see Section 4.3) Transaction Analysis i1trnitm.lst (see Section 4.4) NOTE: Section B refers to the Spectra Data Items book. All item lists share the following format: COLUMNS DESCRIPTION 1-48 Item Description Must be blank Item Code Item Length. 55 Item Type. N is numeric, C is character, I is integer. 56 Blank Associated Data List. When not blank, the item is available for grouping Display length for reports. When blank, the Item Length is used. 71 Sum item for reporting accounts. (Security Distribution only) 72 Used by Transactions Analysis to determine if an item is transactions-only (Y), holdings-only (H) or both (blank) Description Length. The maximum number of characters to be displayed for an item if the DESCRIPTION option is selected. 75 Weight By Flag. Y indicates that field can be used to weight by and will appear in the WEIGHT BY drop-down list. 96

100 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX A - FILE FORMATS MAINFRAME SCREENS The following mainframe screens are accessed by CUI SPECTRA when downloading data to the PC: Investment Accounting (InvestOne) MAP DESCRIPTION SCREEN PROGRAM (SCREEN PROGRAM) Security Distribution I1SP FDUSP0 FDMP199 Transaction Analysis I1SP1 FDUSP1 FDMP199 Fund Trend Analysis I1SP2 FDUSP2 FDMP169 Pricing/Exchange Rate I1SP3 FDUSP3 FDMP170 Account Download I1ACB FDUAEB FDMP196 Security Download I1SCB FDUSCB FDMP196 Categorization Download I1CTB FDUCT3 FDMP196 97

101 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX B NETWORK CONSIDERATIONS APPENDIX B - NETWORK CONSIDERATIONS If you are installing this software on a network file server you need to complete the following steps: 1. Install CUI Spectra to a directory on the server as described in Section 2.1. Performing a Server installation will not only install the programmatic files of CUI Spectra on the server, but will also provide a Client folder from which the Client Node installation should be run. 2. Once the Server install is complete, from each user's workstation run the Client Node install program. This second step is critical for the user to perform local functions. Once the Client Node is set up, subsequent release updates will not require a Client Node update - unless otherwise noted. The Client Node program will: Prompt for the Shared Report Option, or security level, the specific user shall have. (See Section 2.0) Prompt for the G_shared_path in which to find the shared report sets/packages. Prompt for the preferred TN3270 emulator from a list of valid emulators (must be resident in the local system). Create the G_work_path if needed and copy from the server the standard report sets and profiles. Assign the following security for the user group: DIRECTORY Installation-dir Installation-dir\FIELDS Installation-dir\HELP Installation-dir\LISTS G_work_path ACCESS Read/Create. Read-only, except for users who are allowed to edit screen formats. Editor mode users should have Read/Create/Update access. Read-only, except for users who are allowed to edit help messages. Read/Write/Create. Note: If you wish to limit access to this directory, all users must have at least full access to the file I1DATA.LDB. Read/Write/Create. 98

102 INVESTMENT ACCOUNTING (INVESTONE) CUI SPECTRA USER S GUIDE - APPENDIX C CUI EDITOR MODE APPENDIX C CUI EDITOR MODE OVERVIEW CUI Editor Mode allows users to customize any Investment Accounting (InvestOne) screen. Users may delete fields, move fields, and add static test to screens. Additionally, they may add field forwarding, edits defaults, data lists, and change the size of any field. Editor Mode also allows users to add custom help messages for screens and errors. Only authorized users are given access to this function, which may be turned on through a discreet User Profile parameter. See Script Tags. MODIFYING SCREENS ENTERING EDITOR MODE Before entering Editor Mode, it is usually advantageous to make the unprotected background and protected background colors different. Select Options Editor Mode: 99