OTC ACCOUNT SERVICES INFORMATION SYSTEM ( OASIS ) WEB PORTAL USER MANUAL PART V - OASIS SETTLEMENT LIMIT ENQUIRY PORTAL

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1 October 2016 OTC CLEARING HONG KONG LIMITED OTC ACCOUNT SERVICES INFORMATION SYSTEM ( OASIS ) WEB PORTAL USER MANUAL PART V - OASIS SETTLEMENT LIMIT ENQUIRY PORTAL

2 Disclaimer ================================================================================== The information of this document serves for education, training and/or on-boarding purposes only. HKEx assumes no responsibility for any errors, omissions or conflicts with clearing house rules, procedures and other official notice/circulars. Also, all examples in this document are used for illustration purposes only, and should not be considered the results of actual market circumstances. All matters pertaining to specifications herein are made subject to further revision and are superseded by official HKEx rules. ================================================================================== October 2016 Page 2 of 24

3 Updated Date Oct 2016 Document / Section Part V Amendment Log Description - Insert new part (Part V) to illustrate the new features provided with the Settlement Enquiry Portal October 2016 Page 3 of 24

4 Table of Contents Table of Contents Logon and Logoff Portal Logon Portal Logoff Password Management First Time Logon Voluntarily change of password Common Reasons for Invalid Login Screen Layouts Home Page October 2016 Page 4 of 24

5 1. Logon and Logoff This section explains 1) function description, 2) function available time, and 3) the procedures for connecting to and dis-connecting from Portal (i.e. logon and logoff the Web Portal) Function Description To calculate settlement limit utilization in response to input by Clearing Members 1.2. Function Available Time 7:30 a.m. to 11:00 p.m. except during the EOD process between 7:30 p.m. to 10:00 p.m., every OTC Clear Clearing Day October 2016 Page 5 of 24

6 1.3. Portal Logon 1. Launch Internet Explorer 2. Type Portal URL [ into the box next to the address field and press Enter key in the keyboard October 2016 Page 6 of 24

7 3. The following login screen will be displayed. October 2016 Page 7 of 24

8 4. Input OASIS User login ID and password, then click Sign in Please note: username (i.e. login ID) must be in lowercase letters. October 2016 Page 8 of 24

9 5. The following screen will be displayed when the logon is successful. October 2016 Page 9 of 24

10 1.4. Portal Logoff Click the Log Out hyperlink at the top right hand corner. October 2016 Page 10 of 24

11 2. Password Management 2.1. First Time Logon The system will require you to log on to OASIS Collateral Management Portal to change the password of OASIS Settlement Limit Enquiry Portal before proceeding. 1. Launch Internet Explorer 2. Type Portal URL [ into the box next to the address field and press Enter key in the keyboard October 2016 Page 11 of 24

12 3. The following login screen will be displayed. October 2016 Page 12 of 24

13 4. Input OASIS User login ID and password, then click Sign in Please note: username (i.e. login ID) must be in lowercase letters. October 2016 Page 13 of 24

14 5. After logging on using the temporary password, the system will require you to change the password before proceeding. October 2016 Page 14 of 24

15 6. The following screen will be displayed when the logon is successful. October 2016 Page 15 of 24

16 7. Click the Log Out hyperlink at the top right hand corner. October 2016 Page 16 of 24

17 2.2. Voluntarily change of password OASIS will force user to change password at least once every 90 days. change his/her password voluntarily after logging into OASIS. Prior to the system s mandatory change of password, user can User can initiate a change of password by selecting Change Password. October 2016 Page 17 of 24

18 The below message box will be prompted after selecting the hyper link. October 2016 Page 18 of 24

19 Please make reference to the below password guidelines when setting the password. 1. Password shall contain at least 10 characters; 2. Password shall contain a combination of letters (both upper & lower case) and numbers (0-9) 3. User account will be locked upon 6 consecutive unsuccessful login attempts 4. Password shall be changed at least every 90 days 5. Password will not be allowed to change on the same day upon completion of a password change An error message will be prompted if user tried to input an invalid password. password violated guideline #5). Below is an example of the error message when the October 2016 Page 19 of 24

20 2.3. Common Reasons for Invalid Login The error message Failed to Authenticate will be displayed in the Portal for invalid login. this message. The common reasons are: There are several scenarios that will trigger 1. The User ID provided does not exist or the password entered does not match with the corresponding User ID. 2. The User ID is locked by the system after more than 6 invalid login attempts. 3. The User logs in outside the operating hours. User should contact User Account Administrator for further assistance. October 2016 Page 20 of 24

21 3. Screen Layouts 3.1. Home Page The Home Page is divided into following sections as shown in the diagram. October 2016 Page 21 of 24

22 MAIN MENU: Locate at the upper section of the screen. Economic details Cross Currency Swap can be input to check forthcoming utilization of settlement limit. The following features for user to select or input (1) Initial Exchange / Final Exchange Dates, (2) Buy/Sell USD, (3) Currency Pair and (4) Initial Exchange / Final Exchange Amount. Fields / Dropdown Values / Hyperlink IE Date Descriptions Initial Exchange Date. Set the date range to be displayed FE Date Final Exchange Date. Set the date range to be displayed. October 2016 Page 22 of 24

23 IE / FE Direction BUY / SELL Buy / Sell U.S. Dollar USD/CNH Currency Pair of U.S. Dollar and CNY (Offshore) Load Run the settlement limit utilization and limit checking result MAIN MENU: Locate at the upper section of the screen. Economic details Cross Currency Swap can be input to check forthcoming utilization of settlement limit. SUPPLEMENTARY MENU: Locate at the upper right hand corner of the screen. It displays the account name used to log into OASIS. It also consists of Log Out icon to end the user login section and log off from the portal. October 2016 Page 23 of 24

24 CONTENT AREA: It contains settlement limit utilization of each risk limit in settlement currency and amount of settlement payments within the IE Date and FE Date. Field Member Name Descriptions Clearing Member ID Currency The currency in which settlement limit is denominated Date The date of settlement limit applies Outstanding Exposure (-ve means Pmt) The netted principal exchange amount as of the date that settlement limits applies. Negative Value Clearing Members pay netted principal amount to OTC Clear Positive Value Clearing Members receive principal amount from OTC Clear Payment Limit The settlement limit amount. Max payment Amount Outstanding settlement limit for new trade(s) Remaining Limit (After) Available settlement limit if additional trade(s) has been cleared Pass Limit Check Y That Clearing Member pass settlement limit check N That Clearing Member DOES NOT pass settlement limit check October 2016 Page 24 of 24

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