User Management. User Guide June 2016 Version 1.5

Transcription

1 User Management User Guide 4 24 June 2016 Version 1.5

2 CONTENTS 1. Introduction Document Purpose Intended Audience Document History User Management Overview User Requests New User Change existing user Delete existing user Password Resets Regular Reporting... 7 Appendix A Function Groups... 8 DISCLAIMER: THE INFORMATION CONTAINED IN THIS DOCUMENT IS A GUIDE ONLY. ALL PARTICIPANTS ON ANY NZX MARKET MUST COMPLY WITH THE RELEVANT RULES, AND THIS DOCUMENT IS NOT A SUBSTITUTE FOR THOSE RULES. NZX CLEARING WILL DETERMINE, IN ITS SOLE DISCRETION, WHETHER ANY PARTICIPANT OR POTENTIAL PARTICIPANT MEETS THE REQUISITE CRITERIA TO BECOME AND REMAIN A PARTICIPANT. THOSE WISHING EITHER TO TRADE IN ANY PRODUCTS AVAILABLE AT NZX OR TO OFFER AND SELL THEM TO OTHERS SHOULD CONSIDER BOTH THEIR LEGAL AND REGULATORY POSITION, INCLUDING THE RELEVANT RULES, AND THE RISKS ASSOCIATED WITH SUCH PRODUCTS BEFORE DOING SO. NO PART OF THIS PUBLICATION MAY BE REDISTRIBUTED OR REPRODUCED IN ANY FORM OR BY ANY MEANS OR USED TO MAKE ANY DERIVATIVE WORK WITHOUT WRITTEN PERMISSION FROM NZX CLEARING. NZX CLEARING (INCLUDING ITS PARENT COMPANY DIRECTORS, OFFICERS, EMPLOYEES AND CONTRACTORS) SHALL NOT BE LIABLE (EXCEPT TO THE EXTENT REQUIRED BY LAW) FOR THE USE OF THE INFORMATION CONTAINED HEREIN HOWEVER ARISING IN ANY CIRCUMSTANCES CONNECTED WITH ACTUAL TRADING OR OTHERWISE. NZX CLEARING IS NOT RESPONSIBLE FOR ANY ERRORS OR OMISSIONS CONTAINED IN THIS PUBLICATION. THIS PUBLICATION IS FOR INFORMATION ONLY AND DOES NOT CONSTITUTE AN OFFER, SOLICITATION OR RECOMMENDATION TO ACQUIRE OR DISPOSE OF ANY INVESTMENT OR TO ENGAGE IN ANY OTHER TRANSACTION. ALL INFORMATION, DESCRIPTIONS, EXAMPLES AND CALCULATIONS CONTAINED IN THIS PUBLICATION ARE FOR GUIDANCE PURPOSES ONLY, AND SHOULD NOT BE TREATED AS DEFINITIVE. USER MANAGEMENT 2 of 10

3 1. Introduction 1.1 Document Purpose The purpose of this document is to provide participants with information on how they can request new users to be set up in the system, and what regular reporting will be provided on the existing users. 1.2 Intended Audience This document is intended for use by Clearing & Settlement Participants. 1.3 Document History Version Date Nature of Amendment Oct-2008 Initial draft May-2009 Changes to reflect screen modifications Jul-2009 Changed screen shots for EXT2 region. Various other wording additions Dec-2009 Updated screenshots, reset password added, minor text updates Jun-2016 Updates for BaNCS V7 USER MANAGEMENT 3 of 10

4 2. User Management Overview In TCS BaNCS V7, User Management is performed by NZX Clearing. This document will outline the process to follow in requesting new user setup, changes, deletions, password resets and the regular reporting to be provided on existing users. NZX Clearing will perform the following tasks for User Management: Create new users Maintain user details User suspension / activation User password maintenance User facilities and authorisation levels Maintain function groups Delete users The functionality and authority level for each user depends on the Function Group selected by the participant when requesting a New User. Each function group consists of a combination of one or more actions within the system able to be accessed by a user. This access and function configurability allows participants to create separation of tasks within their organisation. The maximum functionality available to each firm will depend on the role(s) allocated to the participant in Business Partner set-up. USER MANAGEMENT 4 of 10

5 3. User Requests 3.1 New User To request a new user to be set up, please complete the User Request form and send to clearing@nzx.com. This form must be signed by one of your authorised signatories as held on file with NZX Clearing. The mandatory fields to be completed are: BPID First Name Last Name Function groups required There is a non-mandatory field for Amount Based Authorisation to be completed if required for the user. Assigning an Amount Based Authorisation to a user limits the currency amount they are able to authorise in the system. This applies to all functions for currency amounts that require an authorisation, such as an account transfer or trade creation. Amount Based Authorisations can only be created if the Authorisation Indicator flag is selected in the Business Partner setup. If the flag is selected, every user must have an amount based authorisation created for them, otherwise the system will default users that are not set up to an authorisation level of zero. Appendix A outlines the actions and functionality included in each function group. A user can have multiple function groups. 3.2 Change existing user To change the name or function groups required for an existing user, the same User Request form can be used and sent to clearing@nzx.com. This form must be signed by one of your authorised signatories as held on file with NZX Clearing. For a name change, please ensure appropriate proof of this change is also provided, e.g. Copy of marriage certificate. For a function group change, please tick ALL function groups this user should have as opposed to only ticking the changed groups. The function groups granted in the system will replicate what is on the User Request form. 3.3 Delete existing user To request the deletion of an existing user, the same User Request form can be used and sent to clearing@nzx.com. This form must be signed by one of your authorised signatories as held on file with NZX Clearing. NZX Clearing will action all New User, Change User and Deletion requests within two business days of receipt of correctly completed form. USER MANAGEMENT 5 of 10

6 4. Password Resets When a user enters an incorrect password three times, the system will change the user status to Locked and the user will be unable to access the system. In the event of a user being locked out, the user that is locked out needs to clearing@nzx.com with a request to unlock the user and reset the password. You must include your User ID with this request. If your request is urgent, please also ensure you follow up your with a phone call to NZX Clearing on A return will be sent with confirmation of user being unlocked, and a temporary password issued. NZX Clearing will action all unlock and password reset requests within one hour of receipt of request, within our standard business hours. USER MANAGEMENT 6 of 10

7 5. Regular Reporting NZX Clearing will provide regular BaNCS User reporting on a quarterly basis to each participant s Compliance Manager (or equivalent). This reporting will provide: User name User ID User creation date User deletion date (if applicable) Last login date Function groups assigned per user Amount Based Authorisation (if applicable) User reporting can also be requested on an ad-hoc basis from NZX Clearing if required. USER MANAGEMENT 7 of 10

8 Appendix A Function Groups Number Function Group Associated Actions 1 Create and Maintain CSN Create CSN, Query CSN, Create CSN Link, Modify Authorisation Code 2 Query CSN Query CSN 3 Query Calendar Query Calendar (a) 8(b) 9(a) 9(b) 10(a) Query Rates and Prices Query Money Transactions and Balances Query Security Transactions and Balances Query Instruments Query Depository Transactions Create Depository Transactions Query Clearing and Settlement * For Cash Market Participants only Create Clearing and Settlement * For Cash Market Participants only Query Clearing and Settlement * For Derivatives Participants only Query Exchange Rates, Query Spot Price, Query Settlement Price, Query Futures Price, Query Options Premium Query Money Balances, Query Transactions Money Query Instrument Balances, Query Transactions Instruments, Query Transactions Registry Query Products, Query Futures, Query Options Query Order, Query Internal Cash Transfer, Query External Transfer, Query Reservation, Query Lodge Request, Query Uplift Request All of the functions in 8(a) and additionally: Create Account Transfer, Create Internal Cash Transfer, Create External Transfer, Create Reservation, Create Lodge Request, Create Uplift Request, Check Order, Correct Order Query OTC Trade, Query Cash Trades, Query Cash Settlement Instructions, Query Security Settlement Instructions, Query Security & Cash Settlement Instructions, Query Settlement Instructions, Query Security Settlement Instructions, Query Fund Settlement Instructions, Query Trade Allegements, Query Incoming All of the functions in 9(a) and additionally: Create OTC Trade, Check OTC Trade, Correct OTC Trade Query Futures Trade, Query Options Trade, Query Cleared Trades, Query Trade Split, Query Alleged Give Ups, Query Give Up/Take Up, Query Futures Position, Query Options Position, Query Futures Transaction, Query Options Transaction, Query Futures Open Interest, Query Options Open Interest, Query Position Transfer, Query Alleged For Transfer, Query Close Out, Query Exercise/Abandon Instruction, Query Assignment Instruction, Query Cash Settlement Instruction, Query OTC Trade, Query Cash USER MANAGEMENT 8 of 10

9 10(b) 11 12(a) 12(b) 13(a) 13(b) 14(a) 14(b) Create Clearing and Settlement * For Derivatives Participants only Query Corporate Action events Query Corporate Action elections Create Corporate Action elections Query Stock Lending and Borrowing Create Stock Lending and Borrowing Query Risk Management Create Risk Management Trades, Query Cash Settlement Instructions, Query Security Settlement Instructions, Query Security & Cash Settlement Instructions, Query Settlement Instructions, Query Security Settlement Instructions, Query Fund Settlement Instructions, Query Trade Allegements, Query Incoming All of the functions in 10(a) and additionally: Create OTC Trade, Create Give Up, Create Position Transfer, Create Bulk Transfer, Create Options Exercise/Abandon, BP Exercise Limit, Create Close Out, Cancel Close Out, Check OTC Trade, Correct OTC Trade, Check Position Transfer, Check Exercise/Abandon Instruction Query Events Query Events, Query Eligible Accounts, Query Investor Options, Query Eligible Positions, Query Entitlements, Query Booking Details All of the functions in 12(a) and additionally: Instruct Option Selection Query Instructions, Query Securitywise Lent Position, Query Loan Repayment Request, Query Outstanding Loans, Query Pending Recall All of the functions in 13(a) and additionally: Create Instructions, Create Loan Request, Create Lender Recall, Create Repay Loan, Check Instructions, Correct Instructions, Check Loan Request, Correct Loan Request, Check Repay Loan, Correct Repay Loan Query Margin Details, Query Total Margin, Query Net Mark to Market, Query Net Liquidation Value, Query Derivatives Margin Details, Query Initial Margin Percentage, Query Additional Margin Percentage, Query Margin Calls, Query Cash Collateral, Query Cash Equivalent Collateral, Query Security Collateral, Query Cash Release, Query Cash Equivalent Release, Query Security Release, Query Cash Collateral Valuation, Query Security Collateral Valuation, Query Total Collateral All of the functions in 14(a) and additionally: Create Cash Collateral, Create Cash Equivalent Collateral, Create Security Collateral, Create Cash Release, Create Cash Equivalent Release, Create Security Release 15 Query Reports Query Reports Status, Query Schedule USER MANAGEMENT 9 of 10

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