Central Depository Company of Pakistan Limited

Transcription

1 Central Depository Company of Pakistan Limited USER MANUAL EDIVIDEND SERVICES; REPOSITORY UPLOAD Prepared For RTA Date: 15 th May 2018 Version 1.3 Prepared By CDC IT Team Purpose of the document The purpose of this document is to describe the edividend Repository Upload functionality to the Registrar Transfer Agent.

2 Table of Contents 1. BRIEF DESCRIPTION LIST OF EDIVIDEND(S) REPOSITORY - SAVE / POST SCREEN Description of Actions Screenshot EDIVIDEND 1ST OR SUBSEQUENT UPLOAD SCREEN Screenshot Upload Fields; Attributes Format; Repository Upload File (CSV) Validations; Repository Upload File (CSV) Specimen (CSV) Description of Actions Uploading File Viewing File Rejecting File Deleting File Posting File Error File P a g e

3 1. BRIEF DESCRIPTION This document shall focus on the uploading mechanism of edividend Repository file available at RTA end. Repository Upload function shall be carried out by RTA user, which shall be responsible for ensuring the integrity of the uploaded information. The upload shall go through Save & Post mechanism. On successful posting of Repository Upload file, the relevant information shall start appearing at corresponding investor s end. 2 P a g e

4 2. LIST OF EDIVIDEND(S) REPOSITORY - SAVE / POST SCREEN 2.1 DESCRIPTION OF ACTIONS 1. RTA user is required to upload the complete list of shareholder. 2. The Upload feature is available from Manage Files button Figure 2.2, which in turn is accessible from List of edividend(s) - Repository page. 3. RTA user clicks the List of edividend(s) - Repository option from the edividend Repository menu. 4. User is redirected to List of edividend(s) - Repository page. 5. The page lists all the Dividend events for which logged-in user is designated RTA. 6. The Manage File button shall be enabled for users. 7. RTA user clicks the Manage File button. 8. System redirects the user to edividend Repository screen. 2.2 SCREENSHOT 3 P a g e

5 3. EDIVIDEND 1ST OR SUBSEQUENT UPLOAD SCREEN 1. RTA user shall go through Save/Post mechanism to upload edividend Repository File. 2. The 1 st Repository Upload for a given edividend shall contain all records with Paid, Unpaid and Withheld status and shall form the basis on which subsequent Repository CSVs(s) shall be uploaded, if required. 3. The save user shall have the option to 1) Save Repository Upload CSVs, 2) View Error File, and 3) Delete Saved CSVs. 4. The post user shall have the option to 1) View the saved CSV, 2) Post the saved CSV, and 3) Reject the saved CSV. 5. Save user can delete the saved CSV and re-upload the CSV with changes or rectification of errors. 6. Once all errors have been rectified, Post user, after verification shall post the saved CSV. 7. CSV may contain records with Paid, Unpaid or Withheld status. 8. The edividend Repository Upload could be performed number of times. a. Records with Paid status once posted cannot be changed or updated. b. Records with Unpaid or Withheld status can be modified and re-uploaded in the Repository. c. Warrant number for Unpaid and Withheld records should be same as posted in the first Repository upload. i. Each subsequent upload shall replace the previous records in file according to the warrant number. Reflection of subsequent upload may change information available at Investor s end List of My edividend(s). d. Same validations shall be applicable on subsequent upload as in 1 st upload. 9. Subsequent Uploads: a. All subsequent uploads after the first one shall be presented as Repository Subsequent Upload_N, where N shall represent the sequential number. b. Subsequent Upload option shall be available only after the completion of posting and validation process for the last upload. c. After all records are marked as Paid subsequent upload shall not be allowed and system shall generate error on save. d. Subsequent Upload option shall continue to appear if any record in the 1 st upload file has Unpaid and/or Withheld status. 10. Repository Upload shall be available for both 1) Dividends that are processed through eservices Portal, and 2) that are not processed by eservices portal. 11. The upload shall perform validations on save and validations that are described in section Validations Repository Upload File shall be applicable. 4 P a g e

6 12. The upload shall not perform any format related validation on posting of Uploads (both 1 st and subsequent). 3.1 SCREENSHOT 5 P a g e

7 3.2 UPLOAD FIELDS; ATTRIBUTES FORMAT; REPOSITORY UPLOAD FILE (CSV) No. Field Mandatory /Optional /Conditional Length Type Special Characters Allowed 1 Event ID Mandatory 20 Varchar2 -()/*^%#!~_ 2 Dividend Issue # Mandatory 20 Varchar2 -()/*^%#!~_ 3 Warrant # Mandatory 20 Varchar2 -()/*^%#!~_ 4 Company Name Optional 60 Varchar2 -()/*^%#!~_ 5 Security Symbol Mandatory 12 Varchar2 -()/*^%#!~_ 6 Security Name Optional 60 Varchar2 -()/*^%#!~_ 7 CNIC/NICOP Conditional 13 Numeric No Special Character allowed Remarks Must be 13 numeric digits for paid status. 13 digits or less for Unpaid & Withheld status 13 No Special or less Character allowed 8 Passport/POC Conditional 20 Alphanumeric - / For Paid status. -()/*^%#!~_ For Unpaid & Withheld status. 9 Child Registration Certificate Number/Juvenile Card Number 10 Registration Number (in case of company) Optional 13 Numeric No Special Character allowed without hyphen Conditional 25 Alphanumeric - / For Paid status. -()/*^%#!~_ For Unpaid & Withheld status. 11 NTN Conditional 25 Numeric - / For Paid status. -()/*^%#!~_ For Unpaid & Withheld status. 12 Shareholder Name Mandatory 120 Varchar2 -()/*^%#!~_ 6 P a g e

8 13 Father/Husband Name Optional 60 Varchar2 -()/*^%#!~_ 14 Participant ID Conditional 5 Numeric No Special Character allowed 15 CDC Account Conditional 6 Numeric No Special Character allowed 16 Folio Number Conditional 20 Varchar2 -()/*^%#!~_ 17 Joint Holder 1 Name Optional 120 Varchar2 -()/*^%#!~_ 18 Joint Holder 1 CNIC/NICOP/Passport # Optional 20 Varchar2 -()/*^%#!~_ 19 Joint Holder 2 Name Optional 120 Varchar2 -()/*^%#!~_ 20 Joint Holder 2 CNIC/NICOP/Passport # Optional 20 Varchar2 -()/*^%#!~_ 21 Joint Holder 3 Name Optional 120 Varchar2 -()/*^%#!~_ 22 Joint Holder 3 CNIC/NICOP/Passport # 23 Holding Type (Physical/Demat) Optional 20 Varchar2 -()/*^%#!~_ Conditional/ Mandatory 8 Text No Special Character allowed 24 Bank Name Optional 120 Varchar2 -()/*^%#!~_ 25 Bank Branch Optional 120 Varchar2 -()/*^%#!~_ 26 Bank Branch Address Optional 120 Varchar2 -()/*^%#!~_ 27 International Bank Account Number (IBAN) Optional 30 Varchar2 -()/*^%#!~_ 28 Filer Status (Principal) Optional 20 Varchar2 -()/*^%#!~_ 29 Joint Holder 1 Filer Status Optional 20 Varchar2 -()/*^%#!~_ Participant Id must be 5 digits e.g P a g e

9 30 Joint Holder 2 Filer Status 31 Joint Holder 3 Filer Status Optional 20 Varchar2 -()/*^%#!~_ Optional 20 Varchar2 -()/*^%#!~_ 32 Number of shares held Optional 15 Numeric No Special Character allowed 33 Gross Dividend Amount Optional 15 Numeric. With 2 decimals 34 Tax Deducted Optional 15 Numeric. With 2 decimals (Principal) 35 Joint Holder 1 Tax Optional 15 Numeric. With 2 decimals Deducted 36 Joint Holder 2 Tax Optional 15 Numeric. With 2 decimals Deducted 37 Joint Holder 3 Tax Optional 15 Numeric. With 2 decimals Deducted 38 Total Tax Deducted Optional 15 Numeric. With 2 decimals 39 Zakat Deducted Optional 15 Numeric. With 2 decimals 40 Share liable to zakat Optional 15 Numeric No Special Character allowed 41 Shares not liable to Optional 15 Numeric No Special zakat Character allowed 42 Net Dividend Amount Mandatory 16 Numeric. - With 2 decimals 43 Rate per share Optional 15 Numeric No Special Character allowed 44 ZCCA Code Optional 15 Varchar2 -()/*^%#!~_ 45 Asset Code Optional 15 Varchar2 -()/*^%#!~_ 46 Address Conditional 240 Varchar2 -()/*^%#!~_ With 2 decimals Mandatory for Paid status. Optional for Unpaid and Withheld status 47 Address Optional 50 Varchar2 _.-@ These characters are allowed sign. sign only. is allowed 48 Mobile Number Optional 11 Numeric No Special Character allowed 8 P a g e

10 49 Dividend Status Mandatory 12 Text No Special Character allowed 50 Reason Conditional 120 Varchar2 -()/*^%#!~_ Mandatory if status is unpaid or withheld. 51 Financial Year Optional 7 Varchar2 -()/*^%#!~_ 52 Date of Issue Optional - Date / 53 Book Closure Start Date Optional - Date / 54 Book Closure End Date Optional - Date / 55 Dividend Pay Date Conditional - Date / Mandatory if status is Paid. Note: All optional fields are essentially to be filled if pertaining information of shareholders is available. 9 P a g e

11 3.2.2 VALIDATIONS; REPOSITORY UPLOAD FILE (CSV) 1. The upload shall perform validations on save only. 2. Conditional behavior of CNIC/NICOP, Passport #, Registration Number and NTN : a. For Paid status, data must exist in at least one of the following column: i. CNIC/NICOP ii. Passport iii. Registration Number iv. NTN b. If data exists in CNIC/NICOP and Passport fields, then data in Registration Number field is not allowed. c. If data exists in Registration Number field, then data in CNIC/NICOP and Passport fields is not allowed. No. CNIC/NICOP Passport Registration Number Condition 1. Exist Exist Blank Valid 2. Blank Blank Exist Valid 3. CNIC/NICOP a. If data exists in CNIC/NICOP field then the following conditions will apply: i. If Dividend Status is Paid then restrict data to 13 digits Numeric. ii. If Dividend Status is Unpaid or Withheld then all 13 or less Numeric digits (i.e. Varchar2). 4. Holding Type a. Following values must exist in Holding Type column else system generates column: i. Physical ii. Demat 5. Conditional behaviour of Holding Type (Physical/Demat) column. a. If Physical then data must exist in Folio No else system generates error. b. If Physical then data must not exist in Participant ID and CDS Account No. fields else system generates error. c. If Demat then data must exist in Participant ID and Account No. fields else system generates error. d. If Demat then data must not exist in Folio No. field else system generates error. No. Physical/Demat Participant ID CDS Account No. Folio No. Condition 1. Physical Blank Blank Exist Valid 10 P a g e

12 2. Demat Exist Exist Blank Valid 6. Conditional behavior of Participant ID, CDS Account No., and Folio No. fields: a. System shall establish the conditions between Participant ID, CDS Account No. and Folio No. columns. No. Participant ID CDS Account No. Folio No. Condition 1. Blank Blank Exist Valid 2. Exist Exist Blank Valid b. If Participant ID exists then CDS Account Number must also exist else system generates error. c. If Participant ID exists then Folio Number must NOT Exist else system generates error. d. If CDS Account No. exists then Participant Id Must Exist else system generates error. e. If CDS Account No. Exists then Folio No. Must not Exist else system generates error. f. If Folio Number Exists then both Participant ID and CDS Account No. must Not Exist else system generates error. 7. Event ID & Security Symbol a. Event ID and Security Symbol entered in upload must matched Dividend Setup. 8. Child Registration Certificate Number/Juvenile Card Number a. No validation except for length & type shall be applicable on this field. 9. International Bank Account Number (IBAN) a. No format validation. b. No interdependency with Payment Status. c. Optional for Paid, Unpaid and Withheld statuses. 10. Dividend Status a. Following values must exist in Dividend Status column else system generates column: i. Paid ii. Unpaid iii. Withheld 11. Mobile Number a. Must be 11 digits else system generates error. b. Special Treatment: i. If Mobile number length = 10 and starting Number is 3 then system shall insert preceding 0 to make it 11 digits. 12. Net Dividend Amount 11 P a g e

13 a. Negative value is also allowed in Net Dividend Amount field. 13. Address a. Address field is mandatory if Dividend Status = Paid else optional. 14. All Amount and Share related fields except for Net Dividend Amount a. Negative value is not allowed. 15. Reason a. If Dividend Status = Unpaid or Withheld then data must exist in Reason column else system generates error. 16. Date of Issue, Book Closure Start Date, Book Closure End Date : a. Format = DD/MM/YYYY 17. Dividend Pay Date a. Mandatory for Paid status and Optional for Withheld or Unpaid statuses. 18. Special characters: a. Refer to Matrix for field wise listing of allowed Special Characters. 19. Other Field Attributes: a. Refer to Matrix for characteristic of each field. b. Data in all fields must conform to its specific attribute else system generates error. c. Mandatory: a. Data must exist else system generates error. d. Option: a. Field could be blank or have data. e. Conditional: a. Field becomes mandatory or optional on the basis of selection/data in other field(s). 20. In fields Amount, special characters including comma are not allowed. 21. In fields that represent Number of shares, except for. (Dot) other special characters are not allowed 12 P a g e

14 3.2.3 SPECIMEN (CSV) 1st row (Header): Event Id,Dividend Issue #,Warrant #,Company Name,Security Symbol,Security Name,CNIC/NICOP,Passport/POC,Child Registration Certificate Number/Juvenile Card Number,Registration Number,NTN,Shareholder Name,Father/Husband Name,Participant Id,CDC Account,Folio Number,Joint Holder 1 Name,Joint Holder 1 CNIC/NICOP/Passport #,Joint Holder 2 Name,Joint Holder 2 CNIC/NICOP/Passport #,Joint Holder 3 Name,Joint Holder 3 CNIC/NICOP/Passport #,Holding Type,Bank Name,Bank Branch,Bank Branch Address,International Bank Account Number,Filer Status,Joint Holder 1 Filer Status,Joint Holder 2 Filer Status,Joint Holder 3 Filer Status,Number of Shares Held,Gross Dividend Amount,Tax Deducted,Joint Holder 1 Tax Deducted,Joint Holder 2 Tax Deducted,Joint Holder 3 Tax Deducted,Total Tax Deducted,Zakat Deducted,Shares Liable To Zakat,Shares Not Liable To Zakat,Net Dividend Amount,Rate per share,zcca Code,Asset Code,Address, Address,Mobile Number,Dividend Status,Reason,Financial Year,Date Of Issue,Book Closure Start Date,Book Closure End Date, Dividend Pay Date Subsequent data rows (example): "NEW COM,:201896",101,2,MCB Limited,"NEW COM,:",MCB,,,,global-12,global-12,Anum Saleem,Saleem Ahmed,,,123,,,,,,,Physical,Standard Chartered Bank of Pakistan Limited S C B Bank 12345,Standard Chartered Bank of Pakistan Limited SADDAR Branch123 nimra sultan cdc hous, Meezan Bank Limited of pakistan Model Colony Karachi -. : ; / # ( ) & `,PK36SCBL ,Filer,,,,100000, ,100,,,,100,50,100000,0,999850,10,10,20,Unit Number 715 Kamran Restaurant Aabpara Market Khayaban e Suharwardy clifton Karachi Phone ,Abc@example.com, ,Paid,, ,28/12/2017,28/12/2017,28/12/2017, 29/12/ P a g e

15 3.3 DESCRIPTION OF ACTIONS UPLOADING FILE 1. Save user clicks the Upload button 2. The Upload CSV popup windows appear for choosing the upload 3. Save user clicks the Choose CSV File button 4. System redirects the user to File Upload window 14 P a g e

16 5. Save user chooses a file other than CSV format. 6. System displays error message 7. User selects CSV file. 8. The selected file appears in Upload CSV window 15 P a g e

17 a. User may remove the selection by clicking the X. 9. Save user clicks the Upload CSV button. 10. Columns: a. The File Type File Name column shows the name of the uploaded file. b. The Date/Time column shows the date on which file received. c. The Status column shows the Status of the selected/uploaded file, which could be one of the following: i. Uploaded ii. File Received. Awaiting Validation iii. Validation Failed iv. Rejected 11. System validates the file. a. While the file is being validated system: i. Status becomes File Received. Awaiting Validations, 16 P a g e

18 ii. Date/Time is shown in relevant column, iii. Delete icon gets enabled, and iv. Upload button remain enabled. b. If the uploaded file has errors then system: i. Generates an error file and provides the link for accessing the same in File Type File Name column, ii. Status becomes Validation Failed, iii. Date/Time is shown in relevant column, iv. Delete icon get disabled, and v. Upload button remain enabled. vi. User clicks the Error File Link. vii. System opens the error file in excel format. c. If the uploaded file has no errors then system validates the file: 17 P a g e

19 i. Status becomes Uploaded, ii. Date/Time is shown in relevant column. iii. Delete icon get enabled, and iv. Upload button remain disabled. 12. The successfully validated saved file shall appear at Post User s end for further process. 18 P a g e

20 3.3.2 VIEWING FILE 1. Post user clicks the View button 2. System opens the Saved/Posted uploaded file for user viewing. 19 P a g e

21 3.3.3 REJECTING FILE 1. Post user clicks the Reject button. 2. System displays following confirmation message with Yes and No options. Are you sure you want to Reject the File 3. On clicking No, system aborts the reject operation and remains on the screen. 4. On clicking Yes, system marks the file status as Rejected and displays following message: File Successfully Rejected 20 P a g e

22 5. The rejected file disappears from the post user s screen while on the save user screen the corresponding file appears with Rejected status. 21 P a g e

23 3.3.4 DELETING FILE 1. Only single file could be uploaded at a time for an edividend. However, if required the uploaded file could be deleted first then replaced with another file. 2. In order to delete the uploaded file, save user clicks the Delete icon associated with Upload. a. On successfully deleting the upload file, its associated Upload button becomes active allowing user to upload new edividend Repository Upload file. 3. System displays confirmation message. 4. Save user clicks the Yes button. 5. System displays information message and deleted the file. 22 P a g e

24 6. On successful deletion, the File Name, Date/Time and Status column for upload row becomes blank and the Upload button becomes active. 23 P a g e

25 3.3.5 POSTING FILE 1. Post user clicks the Post button 2. System displays following confirmation message with Yes and No options: Are you sure you want to Post the file 3. On clicking No, system aborts the post operation and remains on the screen. 4. On clicking Yes, system marks the file status as Uploaded and displays following message: File Successfully Posted 24 P a g e

26 5. On successful posting the file s corresponding Post & Reject option becomes disabled. 6. Columns: a. The File Type File Name column shows the name of the uploaded file. b. The Date/Time column shows the date on which file uploaded. c. The Status column shows the Status of the selected/uploaded file, which could be one of the following: i. Uploaded ii. Rejected 7. There shall be no validation on posting of Repository Upload. 8. On successfully posting the CSV file: a. Status becomes Posted and Upload button become disabled. b. Date/Time is shown in relevant column, c. View icon remains enabled, and d. Reject & Post icon gets disabled. 25 P a g e

27 3.3.6 ERROR FILE 1. Depending on errors encountered while uploading, the error file may contain one or multiple messages: 2. System shall first check the Header (first) related errors and then proceed to validate records in the file. a. If error is found in header e.g. number of columns missing, incorrect header name, etc. then system shall generate this error without checking and reporting any possible errors in records. No. Scenario Message 1. If column name is invalid Validation Error at row = column names row; In CSV File header column name = <column name> found. However column name = <column name> was expected for column position <column position> 2. If column is missing Validation Error at row = column names row; In CSV File header column name = <column name> found however column name = <column name> was expected for column position <column position> 3. If warrant number which have Paid status is uploaded in subsequent upload 4. If CNIC/NICOP, Passport #, Registration Number and NTN all of them is missing in CSV 5. If Participant ID, CDS Account # and Folio Number coexists Warrant Number already paid At least CNIC/NICOP or Passport or Registration Number/NTN must exist. CDS Account No and Folio Number cannot coexist 6. If CDS Account # is missing CDS Account No is missing against given participant ID: <Participant ID> 7. If Event is not same in all records Invalid Event ID 8. For subsequent upload, If Warrant # is not same as 1 st upload OR Number of records exceeds than records in 1 st upload. 9. For Paid Status, if Passport Number has other than allowed character(s). Warrant # does not exists Passport/POC format is not valid 26 P a g e

28 10. For Paid Status, if Registration Number has other than allowed character(s). 11. For Paid Status, if NTN has other than allowed character and/or Alphabet(s). 12. For Paid Status, if CNIC/NICOP is not 13 digits 13. If Holding Type is other than Physical or Demat. 14. If Folio No is blank for Holding Type = Physical. 15. If Participant ID and Account No. are blank for Holding Type = Demat. 16. If Participant ID exists and CDS Account Number does not exist. 17. If Participant ID exists and Folio Number also exist. 18. If CDS Account No. exists but Participant Id does not exist. 19. If CDS Account No. Exists and Folio No. also exist 20. If Dividend Status is Paid and Dividend Pay Date is blank. 21. Dividend Status is other the Paid, Unpaid, Withheld 22. If Dividend Status = Unpaid or Withheld and data does not Registration Number format is not valid NTN format is not valid CNIC/NICOP should be 13 digits Holding Type should be Physical or Demat For Holding Type Physical: Folio Number is required and Participant Id and CDS Account should be blank For Holding Type Demat: Participant Id and CDS Account are mandatory and Folio Number should be blank CDS Account No must also exist Participant Id and Folio Number cannot coexist Participant Id must also exist CDS Account No and Folio Number cannot coexist Dividend Pay Date is missing Invalid Dividend Status Reason must be define with Dividend Status Unpaid or Withheld exist in Reason column 23. Data Size Error: Validation Error at row = 2; [Invalid datasize at column = 14 i.e. "Participant Id" value = Description: size must equal to 5 digits.] 24. Data Type Error: [Mismatch datatype at column = 23 i.e. "Holding Type" value = Demat11 Description: type must be in only Text Formats.] Sample Message: Validation Error at row = 3; Invalid Event ID 27 P a g e