Investor Services Online Quick Reference Guide Approving transactions

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1 All transactions in Investor Services Online must be approved from the My Transactions page before they can be submitted to RBC Investor & Treasury Services for processing. The number of approvers required for transactions and approval permissions can be configured by your Company Administrator. Transaction approvers can also optionally set up alerts which will notify them of transactions awaiting approval. Approving a transaction To search for and approve a transaction: 1. From Investor Services Online, click My Toolkit Transactions. The My Transactions page is displayed (Figure 1). 1/10 Investor Services Online September 2016

2 Step 1 Step 2 Step 5 Transactions to be approved Step 10 Step 7 Step 6 Step 8 Step 9 Step 11 Step 14 Figure 1 2/10 Investor Services Online September 2016

3 Tip Whenever you manually enter and submit a transaction from a transaction s entry page, you will be automatically directed to the My Transactions page. 2. Select the account on which the transaction was submitted. To search for the account, click next to the Account field. The Select Transaction Account page is displayed. Tip If you know the account number, you can enter it in the Account field. 3. Enter the search criteria in the Keywords search field and click. All of the accounts in this table matching the search criteria are displayed (Figure 2). Tip You can enter a full or partial search for the Account Name, Account Nickname and Account Number fields. A minimum of 3 characters must be provided. To obtain a full list of accounts, click My Toolkit Accounts. Step 3 Step 4 Figure 2 4. To select the account, enable the Status check box next to the desired account and click Save. 3/10 Investor Services Online September 2016

4 5. In the Account Group(s) field, enter the names of the user account groups for your search. 6. From the Transaction Type(s) drop-down menu, select from the available transaction types. Click each check box next to the desired transaction type. 7. From the Transaction Status(es) drop-down menu, select the search criteria for the status of the transactions (e.g., Web-Approved, Web- Declined, Web-Entered, and Back Office-Accounted AOK, Back Office-Accounted, IOK, etc.). 8. From the Date Type drop-down menu, select the type of date to be used in the date search (following fields). Select from Settlement Date, Trade Date or Instruction Received on Date. For this example, select Settlement Date. 9. In the Date Range From and To fields, enter the start and end dates for the transactions (yyyy-mm-dd format). Click to use a calendar to search for this date. In the calendar pop-up, click the desired date. 10. From the Transaction Channel drop-down menu, select the search criteria for the method in which the transaction was entered (e.g., FTP, Swift, Web Input, Web Upload, etc.). 11. Once you have entered your search criteria, click Search. All of the transactions matching the search criteria will be displayed in the My Transactions Search results table. Tip If you approve trades for multiple products, ensure that you select the applicable domain from the Product list. 12. Click Search to retrieve the transactions required for this account based on the search criteria you entered. The My Transactions table will be populated with your search results. Tip To review the transaction, click the transaction reference number. 13. To approve multiple transactions, select Approve from the Set Action to Page drop-down menu and click Submit. This action may need to be repeated depending on the number of approvers your company has set up. 14. To approve individual transactions, select Approve from the transaction s Actions drop-down menu and click Submit. This action may need to be repeated depending on the number of approvers your company has set up. 4/10 Investor Services Online September 2016

5 Transaction approval limits The transaction approval limit functionality is used to set limits on the approval capabilities for users within a company. Set by the Company Administrators, these limits can be set based on transaction amounts and currencies. They are set at the internal role level and by transaction type, and can be set for most products and transaction types. Once a transaction approval limit is set, you can only approve transactions up to that limit. If a transaction exceeds your approval limit, you will not be able to approve that transaction. The Approve command from the Transactions page or the My Transactions page will not be available. Also, a warning message will appear indicating that your approval limits prevent you from approving some transactions, and to contact your Company Administrator. To set the transaction approval limits for your users: 1. Create or edit the internal roles assigned to your users by clicking Administration Internal Roles. From the Internal Roles Administration page, click Create New Internal Role to create a new role. You can also edit an existing internal role by clicking Profile next to the predefined internal role and clicking Edit Role from the View Internal Role page. 2. From the Create Internal Role or Edit Internal Role page, click the Transaction Permissions tab to set the approval limits for this internal role (Figure 3). 5/10 Investor Services Online September 2016

6 Step 3 Copying Approval Limits Step 4a Step 4b Step 5 Step 4c Step 6 Figure 3 3. From The Transaction Permissions tab, click Show Approval Limits. The approval limit fields appear for each transaction type that are available for this product. 4. For each transaction type, enter the currency and approval limits. For example, for Security Free of Payment, enter the following details: a. Granted Currencies: From this drop-down menu, select the currencies, separated by a semi-colon, for each approval limit. For this example, select: CAD; EUR; USD. b. Max. Amounts: In this field, enter the maximum transaction amount eligible for approval by this user. From the corresponding dropdown menu, select its associated currency. For this example, enter: 500. c. From its corresponding drop-down menu, select the currency for the maximum transaction amount. Repeat this step for each type of currency. For this example, select CAD Canadian Dollar, EUR Euro. 6/10 Investor Services Online September 2016

7 5. To enter additional currencies for each transaction type, click Add amounts for more currencies and repeat the above steps. 6. Repeat these steps for each transaction type. Once you have entered your transaction permissions, click Save to save the internal role permissions. Copying Approval Limits You can create multiple approval limits and copy a defined set of approval limits to multiple permissions using the following fields and commands. This will enable you to conveniently create and copy one set of approval limits to multiple permissioned functions (e.g., Security Free of Payment; Security Purchase/Sale, etc.). Individual Trade Approval Limit: In the following fields for each product, enter the maximum amounts that users of these products can approve, along with their currencies. Granted Currencies: From this drop-down menu, select the currencies for each approval limit, separated by a semi-colon (e.g., CAD; EUR; USD; etc.). Select All to include all available currencies. Max. Amounts: In this field, enter the maximum transaction amount eligible for approval by this user. From the corresponding drop-down menu, select its associated currency. Repeat this step for each type of currency. Click Remove to remove this set amount from this table. Click Add amounts for more currencies to add more fields to accommodate each currency. Copy these settings to: Use this option to copy a defined set of approval limits to multiple permissions. Once you entered the approval limits (in the above fields), click the name of the permissioned function from this drop-down menu and click Copy. You can separate multiple functions with a semi-colon (;). Select All to copy this to all of the permissioned functions. This will copy this approval limit definition to that selected function. Notice that these approval limit definitions will appear in the Individual Trade Approval Limits fields for each of these functions. Note This option is only available to users who have Approve, Approve own or Super User permissions. Hint If you have different approval limits due to having multiple internal roles, then your approval limits will be the highest granted limits. 7/10 Investor Services Online September 2016

8 Transactions Dashboard (viewing transactions awaiting approval) To quickly view a list of your transactions awaiting approval, you can use the Transactions Dashboard, which is available from the Home page. This dashboard provides you with a snapshot of the total number of Web transactions awaiting approval, with a direct link to these transactions. It allows you to view a list of transactions awaiting approval and then approve them as required. To view the list of transactions awaiting approval: 1. From the Transactions Dashboard portlet of the Home page (Figure 4), click Transactions Awaiting Approval (web). Hint You can also click the Transactions Dashboard title from this portlet. You can also view your transactions according to their category type (e.g., Cash, Trades or Affirmations). Simply click Cash, Trades or Affirmations or the total number next to each category name. Step 1 Figure 4 8/10 Investor Services Online September 2016

9 The My Transactions - Transactions to Approve tab appears displaying your transactions awaiting approval (Figure 5). Step 2 Figure 5 2. From this page, you can view each transaction and approve them as required. For more information For more information on Investor Services Online, refer to the following quick reference guides: : Transaction approvals and permissions : My Transactions : Declining transactions. 9/10 Investor Services Online September 2016

10 RBC Investor & Treasury Services is a global brand name and is part of Royal Bank of Canada. RBC Investor & Treasury Services is a specialist provider of asset servicing, custody, payments and treasury services for financial and other institutional investors worldwide. RBC Investor Services operates through two primary operating companies, RBC Investor Services Trust and RBC Investor Services Bank S.A., and their branches and affiliates. In the UK, RBC Investor Services Trust operates through a branch authorized by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. The Dubai Branch of RBC Investor Services Trust is regulated by the Dubai Financial Services Authority. This material is not for distribution to retail clients as defined under the rules of the FCA. In Australia, RBC Investor Services Trust is authorized to carry on financial services business by the Australian Securities and Investments Commission under the AFSL (Australian Financial Services Licence) number In Singapore, RBC Investor Services Trust Singapore Limited (RISTS) is licensed by the Monetary Authority of Singapore (MAS) as a Licensed Trust Company under the Trust Companies Act and was approved by the MAS to act as a trustee of collective investment schemes authorized under S 286 of the Securities and Futures Act (SFA). RISTS is also a Capital Markets Services Licence Holder issued by the MAS under the SFA in connection with its activities of acting as a custodian. In Hong Kong, RBC Investor Services Bank S.A. is a restricted license bank and is authorized to carry on certain banking business in Hong Kong by the Hong Kong Monetary Authority. RBC Investor Services Trust Hong Kong Limited is regulated by the Mandatory Provident Fund Schemes Authority as an approved trustee. This document is intended to provide general information only on services and products of RBC Investor & Treasury Services, and does not constitute any legal obligation or commitment on behalf of RBC Investor & Treasury Services. / Trademarks of Royal Bank of Canada. Used under licence. 10/10 Investor Services Online September 2016