OASYS OASYS WORKSTATION INSTALLATION GUIDE

OASYS OASYS WORKSTATION INSTALLATION GUIDE VERSION 8.0 DECEMBER 21, 2017

Copyright 2017 DTCC. All rights reserved. This work (including, without limitation, all text, images, logos, compilation and design) is proprietary and protected by copyright, and is for the exclusive use of users authorized by DTCC. If this work is received from DTCC in any electronic medium, authorized users of this work are granted a limited, non-exclusive, non-transferable, nonsublicensable and freely revocable license to make reproductions and transmissions necessary for downloading and storage of this work on the users' computers and to print one or more paper copies from the electronic version for their own use. Other than to this limited extent, no part of this work (including any paper copies thereof or print versions thereof) may be printed, copied, altered, modified, posted, reproduced, displayed, published, sold, licensed, used or distributed (including by transmission) in any form or by any means, or stored in any information storage and retrieval system, without DTCC's prior written permission. All product or service names are the property of their respective owners. DTCC is the brand name under which certain affiliates of The Depository Trust & Clearing Corporation provide services in particular geographic areas. The Depository Trust & Clearing Corporation does not provide services to clients. Each of The Depository Trust & Clearing Corporation s affiliates is a legally separate and independent entity, and each is subject to the laws and regulations of the particular country in which it operates. Please see www.dtcc.com for more information on the legal structure of The Depository Trust & Clearing Corporation and its related entities. Publication Date: December 21, 2017 Publication Code: OA160 Service: OASYS Title: OASYS Workstation Installation Guide

CONTENTS Preface 2 Audience 2 Changes in This Version of the Document 2 Related Documents and Training 2 Questions? 2 1. Getting Ready 3 Introduction 3 Before You Install 3 Assemble Information Required for Installation 3 Disable the User Account Control in Windows 3 After You Install the Workstation 4 Manage SQL Server Express 4 2. Installing and Configuring the Workstation 5 Introduction 5 Starting the Installer 5 Installing Updates 7 SQL Server Feature Selection and Configuration 8 Installing the Workstation 11 Configuring Your OASYS Environment 13 Configuring the Workstation 13 Setting Up Your F5 Connection 17 Configure F5 Using the Workstation 18 Configure F5 Using the Web 18 Completing the Workstation Setup 20 3. Solving Installation Problems 21 Introduction 21 Fixing Issues With the OASYS Database Connection 21 If the Installation Fails 24 IE 11 Certification 24 Troubleshooting the VPNdisp.exe file and SSL VPN Connection 25 4. Moving Data With the Migration Tool 26 5. Uninstalling the Workstation 28

PREFACE This document describes how to install the OASYS TM workstation Version 8.0. It also includes information on using the migration tool to load records from earlier versions to this version of OASYS. Audience This document is for anyone installing the workstation. Changes in This Version of the Document This is a new document for installation of the Version 8.0 OASYS Workstation on Windows 10. Related Documents and Training For related documents and training in the DTCC Learning Center, go to Institutional Trade Processing OASYS. Questions? The DTCC Client Center provides general assistance and technical help. Visit www.dtcc.com/client-center to: Enter a service request or check the status of an existing service request Search the knowledge base Access the documentation library Preface 2

1. GETTING READY Introduction This chapter describes the steps to take before installing the workstation. It also gives an overview of the Microsoft SQL Server Express database application used by OASYS. Before You Install Before you install the workstation: 1. Verify that your PC meets the OASYS system requirements, described in the System Requirements Workstation (8.0). 2. Gather the required information, as described in this chapter. 3. If you are connecting over OASYS F5 Secure Sockets Layer Virtual Private Network (F5 SSL VPN), disable the Windows User Account Control (UAC). Follow the procedure in Disable the User Account Control in Windows on page 3. 4. The OASYS workstation requires a Windows user account with administrative access for installation but not for daily use (including workstation password modifications). Assemble Information Required for Installation Before installing the workstation, gather the following information: Your acronym (used in the Site ID field), host ID, and host password. An administrative password you want to use with the OASYS administrative login: OADMIN. The installer prompts you to enter this password during the installation of the workstation. Note Safeguard your OASYS administrative password. If you misplace the password, reset it at the DTCC Client Center. A non-administrative login and password you want to use for OASYS. OASYS prompts you to enter these credentials the first time you start the workstation. To use the OASYS F5 VPN connection, you need an OASYS F5 VPN user name and password. Contact DTCC for these credentials. Disable the User Account Control in Windows If you are using the OASYS F5 VPN, Omgeo recommends that you disable the User Account Control (UAC). When UAC is active, each SSL VPN connection to the OASYS host requires manual validation. In addition, the UAC prevents the OASYS Workstation Event Log option from functioning. Note To disable the UAC, log in as Administrator. To disable the UAC settings: 1. On the Windows taskbar, right-click Start and then click Control Panel. 2. Select User Accounts in the Windows Control Panel. Getting Ready 3

3. Click Change User Account Control settings. The User Account Control Settings dialog box appears (Figure 1.1). Figure 1.1 User Account Control Settings 4. On the User Account Control Settings dialog box, move the slider bar down to Never notify. 5. Click OK to complete the change. 6. Restart the workstation to apply the change. After You Install the Workstation After the installation is complete, you can start the workstation and connect to the OASYS host, which downloads the OASYS tables for processing on your local SQL Server database. Manage SQL Server Express The installer includes SQL Server 2014 Express Service Pack 2 (SP2) to run OASYS. Use the SQL Server Management Studio Express that comes with the 2014 Express SP2 only under the direction of a DTCC representative. Getting Ready 4

2. INSTALLING AND CONFIGURING THE WORKSTATION Introduction This chapter provides the procedures to install the workstation on a Windows machine that meets the requirements outlined in the System Requirements Workstation (8.0). Note The illustrations in this section might not look the same as they appear on your computer. It is due to the Personalization Settings in individual computers. However, the window names and functions are the same. Starting the Installer To start the installer: 1. Download the OASYS 8.0 application installer to a folder of your choice. 2. Locate the folder where you downloaded the installation application, and double-click setup.exe. The OASYS 8.0 - InstallShield Wizard appears (Figure 2.1) displays a list of components. This list includes only required components that are not currently installed on your workstation. Your list might look different than the illustration. Figure 2.1 OASYS 8.0 - InstallShield Wizard Installing and Configuring the Workstation 5

3. Click Install. The.NET 3.5 installation begins (Figure 2.2). Figure 2.2.NET 3.5 Installation 4. When.NET 3.5 installation is complete, press any key to continue (Figure 2.3). Figure 2.3.NET 3.5 Installation Complete 5. In the Choose Directory For Extracted Files window that appears, click OK (Figure 2.4). Figure 2.4 Choose Directory For Extracted Files After you click OK, the The SQL Server Installation Center appears (Figure 2.5). Installing and Configuring the Workstation 6

Figure 2.5 SQL Server Installation Center Installing Updates Before starting installing setup files, there are two additional steps in the SQL Server 2014, which DTCC recommends that you run. In the SQL Server Installation Center window (Figure 2.5), click the New SQL Server stand-alone installation or add features to an existing installation link, then click Next (Figure 2.6 shows the check box selected). Figure 2.6 Microsoft Update 1. In the Microsoft Update window, select the Use Microsoft Update to check for updates (recommended) check box, then click Next. 2. In the resulting Product Updates window, select the Include SQL Server product updates check box and click Next. The wizard begins the installation of the setup files and then the Setup Support Rules process shown in the Product Updates window (Figure 2.7). Installing and Configuring the Workstation 7

Figure 2.7 Product Updates 3. When the updates process completes, click Next. The Feature Selection window appears (Figure 2.8). Figure 2.8 Feature Selection SQL Server Feature Selection and Configuration The Feature Selection window (Figure 2.8) includes all of the features as follows: Database Engine Services Client Tools Connectivity Installing and Configuring the Workstation 8

Client Tools Backwards Compatibility Client Tools SDK Management Tools Basic SQL Client Connectivity SDK 1. Click Next. The Instance Configuration window appears (Figure 2.9). Figure 2.9 Instance Configuration 2. In the Instance Configuration window: a. Do not change the default Named instance, Instance ID, or Instance root directory field value b. Click Next. The Server Configuration window appears (Figure 2.10). Figure 2.10 Server Configuration Installing and Configuring the Workstation 9

3. In the Server Configuration window, accept the default fields and then click Next. The Database Engine Configuration window appears (Figure 2.11). Figure 2.11 Database Engine Configuration 4. In the Database Engine Configuration window, verify that your user name is in the Specify SQL Server administrators list. If not, click Add Current User 5. Click Next. After the Installation Progress window finishes, the Complete window appears (Figure 2.12). Installing and Configuring the Workstation 10

Figure 2.12 Complete 6. Click Close and when the SQL Server 2014 Express SP2 Setup window appears, click X in the top right corner of the window to close it. Note The installer requires that you close the SQL Server Installation Center Setup window for the next window to open. Installing the Workstation Ensure that the OASYS 8.0 - InstallShield Wizard welcome dialog box is open on your desktop (Figure 2.13). Figure 2.13 Workstation Welcome Installing and Configuring the Workstation 11

To install the workstation: 1. Click Next. The Database Server window appears (Figure 2.14). Figure 2.14 Workstation Database Server 2. In the Database Server window: a. Select.\SQLEXPRESS from the Database server that you are installing to drop-down list. b. Leave the default setting of Window authentication credentials of current user as the Connect using selection.. 3. Click Next. The Ready to Install the Program window appears (Figure 2.15). Figure 2.15 Workstation Ready to Install the Program 4. Click Install. The Remote Access Setup window appears (Figure 2.16). Installing and Configuring the Workstation 12

Figure 2.16 Workstation Remote Access Setup 5. Select F5 Networks VPN Adapter from the VPN Adapter drop down list and then click OK (accept the default VPN adapter). The InstallShield Wizard Completed window appears. 6. Click Finish. Configuring Your OASYS Environment You are ready to configure your connection to the OASYS host using F5 and configure the workstation as follows: Configuring the Workstation Setting Up Your F5 Connection Configuring the Workstation To configure the workstation and set up login parameters: 1. Click Start àoasys à OASYS 8.0. The Workstation Setup Wizard - Page 1 of 5 appears (Figure 2.17). Figure 2.17 Workstation Setup Page 1 of 5 Installing and Configuring the Workstation 13

2. Click Next. The Choose the Type of OASYS Workstation window appears (Figure 2.18). Figure 2.18 Workstation Setup Page 2 of 5 3. Depending on your type of workstation, select Institution or Broker and then click Next. The Create a Login Account window appears (Figure 2.19). Figure 2.19 Workstation Setup Page 3 of 5 4. Enter a Login and Password for a non-administrative workstation account and then click Next. The Enter OASYS Host Information window appears (Figure 2.20). Installing and Configuring the Workstation 14

Figure 2.20 Workstation Setup Page 4 of 5 5. Enter the OASYS host information, which you obtain from Omgeo, and then click Next. For new installations, the DTCC Client Center supplies this information. For upgrades, supply the information from your previous version: Site ID: OASYS acronym Host ID: Use tpinnnnn for investment managers and tpbnnnnn for broker/dealers. Host password: Between eight (8) and fifteen (15) characters containing three out of the following categories: o o o Uppercase alpha character Lowercase alpha character Numeric character o Special character, such as the following:! @ $ & * = _ +?,. ' ~ The Workstation Setup Wizard - Page 5 of 5 appears (Figure 2.21). Installing and Configuring the Workstation 15

Figure 2.21 Workstation Setup Page 5 of 5 6. Click Next. The WorkstationSet dialog appears (Figure 2.22). Figure 2.22 WorkstationSet 7. The resulting Login window indicates that the configuration was successful (Figure 2.23). Figure 2.23 Login Installing and Configuring the Workstation 16

8. Log into the workstation using one of the following accounts: Default administrative account (OADMIN) Non-administrative user account 8. Click OK.The configuration is complete. Setting Up Your F5 Connection Use the Connection Configuration window to configure an OASYS F5 VPN connection to the OASYS host. You do not have to be the OADMIN administrator to supply the information on this window. Important If you cannot connect using OASYS F5 VPN, disable the User Account Control following the procedure in Disable the User Account Control in Windows. The installation tool automatically enables the Secure Socket Tunneling Protocol Service. This service supports the OASYS F5 VPN to ensure it operates properly. The selection order on the window determines the primary and secondary (or failover) network connections. If there is a problem with the primary connection, OASYS uses the secondary connection. Ensure that you are logged into the machine with the workstation open. To configure OASYS F5 VPN as your primary connection: 1. On the menu, click Tools à Connection à to open the Connection Configuration window (Figure 2.24). Figure 2.24 Connection Configuration 2. Select the first Active check box (on the left), and then select OASYS F5 SSL VPN from the Network Connection drop-down list. 3. Enter the information shown in Table 2.1: Table 2.1 OASYS F5 VPN Connection Information Field Enter... Note Network Connection OASYS F5 SSL VPN Enter the name exactly as shown. Installing and Configuring the Workstation 17

Table 2.1 OASYS F5 VPN Connection Information (continued) Field Enter... Note User OASYS F5 SSL VPN user name Enter the OASYS F5 SSL VPN user name you received from Omgeo. Password OASYS F5 SSL VPN password Enter the OASYS F5 SSL VPN password you received from Omgeo. Host Address Production: 10.70.2.12 or Client Test: 10.70.2.13 VPN Connection vpn.omgeo.net Service Name /Common/Oasys When you log in using OASYS F5 SSL VPN, the user name must be unique. If more than one user logs in using the same user name, Omgeo terminates the initial connection. Configure F5 Using the Workstation You can configure OASYS F5 VPN as your primary connection from the workstation. To connect through the workstation: 1. Click Connect to connect to the OASYS host. 2. One of the following occurs: If this is your first F5 connection, F5 prompts you to install the necessary F5 components and then continue with step 3. The Windows Security dialog box appears (). 3. Click Install. This action downloads the F5 Networks network adapters that you need for OASYS F5 VPN. The contents are installed to C:\Windows\Downloaded Program Files. Once the components install, your workstation connects to the OASYS host. Configure F5 Using the Web To connect through the web: 1. Open your browser, navigate to https://vpn.omgeo.net, and then log in. The Network Access page appears (Figure 2.25). Figure 2.25 Network Access 2. Click Oasys to connect. Installing and Configuring the Workstation 18

If this is your first OASYS F5 VPN connection, F5 prompts you to install the necessary browser components and F5 network components. A new page with the heading, A new browser component is required, appears (Figure 2.26). Figure 2.26 A new browser component is required 3. Click Install the new browser component and continue. The first of two File Download - Security Warning dialog boxes appears (Figure 2.27). Figure 2.27 Component Installation 4. Click Run. The second File Download - Security Warning dialog boxes appears, which you can ignore while the Setup runs.(figure 2.28). Figure 2.28 Component Installation Continuation 5. Click Run. Once the installer completes, you have successfully established a connection to the OASYS F5 SSL VPN network. Installing and Configuring the Workstation 19

Completing the Workstation Setup After you install OASYS Version 8.0 on your workstation, you are ready to set-up and use OASYS.. 1. Connect to the OASYS host to download the latest tables. Click Connect on the toolbar. The table download process can take a few minutes. You can double-click the middle-right side of the status bar to display the Communication window and check the status. 2. Review and, if necessary, change the default workstation settings by selecting Tools à Workstation Setup. To change the settings, log on as OADMIN, the OASYS administrator. For example, investment managers can set defaults for: Security Type. For example, if you only handle equities, select EQU. (OASYS-TradeMatch only) Settlement Location. (OASYS-TradeMatch only) Submitting Institution. Enter your TradeMatch ID. When you finish, you can log out as OADMIN, and then log back in to OASYS with a non-administrative account to continue the setup. 3. Configure all applicable system options. Click Tools à System Properties. 4. Choose a folder on a network drive where you want to store the backup database tables, then click Backup. 5. Click Restore/Backup. 6. If you use the default import/export folders (for example, Trans) and want to continue using them, note the path names. You can re-create them after installation. Manually change the version number in the path names to Version 8.0 for the upgrade in the Import and Export models. 7. Verify that you can run a trade report. Installing and Configuring the Workstation 20

3. SOLVING INSTALLATION PROBLEMS Introduction This chapter describes solutions to common problems encountered during the installation of the workstation. Fixing Issues With the OASYS Database Connection If you cannot start OASYS or you get an error while attempting to connect, the typical reason is that the ODBC data source was deleted. In this case, the usual error message is An error occurred while creating the trade object. Use the following Administrative Tools in the Control Panel to find the error: Application log in the Event Viewer, to see the events logged by OASYS. Services, to see if SQL Server (SQLEXPRESS) is running. Ensure your ODBC configuration is correct. To validate your ODBC configuration: 1. Navigate to: C:\Windows\SysWOW64. 2. Double-click odbcad32.exe. The ODBC Data Source Administrator appears. 3. Select the System DSN tab, and then click Add. The Create New Data Source dialog box appears (Figure 3.1). Figure 3.1 Create New Data Source 4. Select SQL Server and then click Finish. The Create a New Data Source to SQL Server window appears (Figure 3.2). Solving Installation Problems 21

Figure 3.2 Create a New Data Source to SQL Server 5. Type OASYSDB80 in the Name field for your new DSN and select (local)\sqlexpress in the Server drop-down list, and then click Next. The first of two Create a New Data Source to SQL Server dialog boxes appears (Figure 3.3). Step 5 Figure 3.3 Microsoft SQL Server DSN Configuration 1 of 2 6. Select the With SQL Server authentication using a login ID and password entered by the user radio button. 7. Ensure the Connect to SQL Server to obtain default settings for the additional configuration options. check box is selected, then enter your Login ID and Password. 8. Click Next. The second and final Microsoft SQL Server DSN Configuration dialog box appears (Figure 3.4). Solving Installation Problems 22

Figure 3.4 Microsoft SQL Server DSN Configuration 2 of 2 9. Select the Change the default database to check box and select OasysDB71 from the drop-down list. Also, ensure that the following check boxes are selected: Use ANSI quoted identifiers. Use ANSI nulls, paddings, and warnings. 10. Click Next and then click Finish in the next window. The SQL Server ODBC Data Source Test dialog box appears. 11. Click Test Data Source and verify that the installer displays the following message (Figure 3.5). Figure 3.5 SQL Server ODBC Data Source Test 12. Click OK and then click OK again in the next screen. To verify that the new DSN was created: 1. Navigate to C:\Windows\SysWOW64 and double-click odbcad32.exe. The ODBC Data Source Administrator appears. 2. Select the System DSN tab, and ensure that the name you assigned to the new DSN is in the list. Solving Installation Problems 23

If the Installation Fails If the installation fails for any reason, be sure to reboot before trying to install OASYS again. Rebooting clears out any files remaining from the failed attempt. IE 11 Certification DTCC certifies IE 11 based on the settings outlined in Table 3.1. Table 3.1 IE 11 Certification SSL VPN using the Workstation Location of Setting Tools Compatibility View settings SSL VPN using the Workstation Location of Setting Tools Internet options Security tab Action Add omgeo.net and save your settings. Action Ensure that the settings are set to the default values as follows: Internet zone is set to Medium-high with the Enable Protected Mode radio button selected. Tools Internet options Privacy tab General Settings Location of Setting Tools Internet options Advanced tab Internet Options Content tab Certificates Intermediate Certification Authorities tab Trusted sites zone is set to Medium with the Enable Protected Mode radio button not selected. Also ensure that in Website under Trusted site, omgeo.net is listed. Ensure that the settings are set to the default values as follows: Settings is set to Medium. The Turn on Pop-up Blocker radio button is selected. Action In the Security section of the Settings panel, ensure that following boxes are not selected: Check for publisher s certificate revocation This action stops the following pop-up message that sometimes appears when a connection attempt is made: Error: Windows cannot determine the validity of this certificate because it cannot locate a valid certificate revocation list from the certificate authority that issued this certificate." Check for signatures on downloaded programs This action is required for a standard and second Windows user to connect to and access the 8.0 workstation. Ensure that the VeriSign Class 3 International Server CA - G3 certificate authority is in the Intermediate Certification Authorities list box, shown in the example below: If the certificate is not present, obtain the certificate from your DTCC representative. Then, click Import below the list on the left side of the dialog box and follow the Certificate Import Wizard. If you cannot successfully complete the Wizard, contact the DTCC Client Center. Solving Installation Problems 24

Troubleshooting the VPNdisp.exe file and SSL VPN Connection If the VPNdisp.exe program file does not open to start your VPN connection, run Register.bat from C:\Program Files (x86)\oasys\oasys 8.0 and ensure that all components register successfully, specifically f5fpapi.dll and simplecom3.dll. Solving Installation Problems 25

4. MOVING DATA WITH THE MIGRATION TOOL This chapter explains how to use the migration tool to move data from a previous OASYS release. To move the data: 1. Open the workstation and select Backup/Restore à Migrate From. 2. Select the version you are migrating from in the drop-down list (Figure 4.1). Figure 4.1 Select a Version to Migrate From Menu Option The Migrating data from previous versions to v8.0 dialog box appears (Figure 4.2). Figure 4.2 Migrating data from previous versions to v8.0 3. Click Browse to locate the backup files that you want to migrate. The Browse For Folder window appears. 4. Select the folder that you want to migrate and click OK. The Migrating Data from previous versions to v8.0 dialog box reappears (Figure 4.3), displaying the name of the selected folder. Moving Data With the Migration Tool 26

Figure 4.3 Migrating data from previous versions to v8.0 (Populated) 5. Select the tables that you want to migrate, and then click Migrate. OASYS imports the records and displays a Restore Successful message (Figure 4.4). Figure 4.4 Restore Successful 6. Click OK to close the message. Moving Data With the Migration Tool 27

5. UNINSTALLING THE WORKSTATION When you uninstall the workstation, it is unnecessary to uninstall every application that OASYS installs. For example, you can safely retain Microsoft programs. If you later choose to uninstall those applications, use the Control Panel. Important When uninstalling the OASYS workstation and its associated applications, remove Microsoft.NET Framework 3.5 as the final step. Uninstalling the Workstation 28

FOR MORE INFORMATION Email DTCC Learning at: DTCCLearning@dtcc.com or visit us on the web at: www.dtcclearning.com