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Document Release Notice This document serves as a reference manual to the users of the Financial Data Enterprise (FDE) software. The document is organized in the following manner: Provides conceptual description of the FDE system and its elements Describes the common FDE operations Setting up FDE All Features with detailed user instructions Glossary (Definition of terms)

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Copyright notice

This Document is subject to the NESS IBS document control procedure and revision. The content is protected by copyright.

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Comments, suggestions, and queries should be addressed to PG FDE Implementation team using the feedback form NESS IBS holds all the rights on this document. No part or Full of this document should be replicated, copied, or tampered with.

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Document Release Notice ......................................................................................................................2 Copyright notice ......................................................................................................................................2 FDE Concepts .........................................................................................................................................5 Common FDE Operations ......................................................................................................................5 Setting up FDE ........................................................................................................................................5 User Privileges ........................................................................................................................................5

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Admin User View ................................................................................................................................7 Power User View ................................................................................................................................7

Normal user view ................................................................................................................................7 Welcome to Financial Data Enterprise (FDE) .........................................................................................8

Key features of FDE ...........................................................................................................................8 Benefits ...............................................................................................................................................8

Functions ............................................................................................................................................9 FDE Modules ........................................................................................................................................10 Feature matrix ..................................................................................................................................11 Logging in .............................................................................................................................................14

Understanding the FDE User Interface.................................................................................................15

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Setting up FDE using Core Services ....................................................................................................16

User Management ................................................................................................................................17 Viewing User details .........................................................................................................................17 Creating a New User ........................................................................................................................19 Editing User Information ...................................................................................................................20

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Entitling Users to Customers ............................................................................................................20 Entitling Users to Rule Category ......................................................................................................22

Customer Management ........................................................................................................................23 Viewing Customer Details ................................................................................................................24 Hierarchy ......................................................................................................................................24

Creating a New Customer ................................................................................................................25 Entitling Products to Customers .......................................................................................................26

Provider Management...........................................................................................................................27 Creating a New Provider ..................................................................................................................27

Adding New Provider Services .........................................................................................................28 Adding New Provider Data Services ................................................................................................29

Notifications Management ....................................................................................................................30 Product Management............................................................................................................................31

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Creating New Product ......................................................................................................................31 Viewing Product Details ....................................................................................................................32 Viewing Metadata Objects List .............................................................................................................33 Creating a New Metadata object ......................................................................................................33 Feed Acquisition ...................................................................................................................................34 Creating a New Feed ........................................................................................................................38 Feed Mapping (New Mapping and Transformation ..........................................................................39

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Enrichment ...................................................................................................................................40 Business Rule ..............................................................................................................................42

Viewing Notifications .............................................................................................................................44 Adding Notifications ..........................................................................................................................44

Load Monitor Home ..............................................................................................................................45 Setting Feed Schedules ...................................................................................................................46

Viewing Master Data .............................................................................................................................47 Adding New Asset Details ................................................................................................................47

Edit asset details ..............................................................................................................................48 Securities Management ........................................................................................................................49 Setting up a new security master .....................................................................................................50

Lookup isuer .................................................................................................................................50

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Create Issuer ................................................................................................................................51 Lookup issue ................................................................................................................................52

Workflow ...........................................................................................................................................53 Cross referencing .............................................................................................................................54 Package Management ..........................................................................................................................55

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Market data management.................................................................................................................55 Package Details ...........................................................................................................................57 Copy Package ..............................................................................................................................58 Recover Packages .......................................................................................................................58 Merging packages ........................................................................................................................59

Package Preferences .......................................................................................................................60 Package Distribution .........................................................................................................................63 Package Schedule ............................................................................................................................64 Package Alerts .................................................................................................................................65

Scrub Monitoring ...................................................................................................................................66 View Scrub Jobs ..........................................................................................................................66 Import jobs....................................................................................................................................67

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FDE Concepts Financial Data Enterprise (FDE) is a powerful yet flexible web based solution for reference data management. FDE automates the routine tasks of daily operations, saving significant time and cost to financial enterprises. FDE automates the data management life cycle right from data acquisition from multiple sources, through transformation and enrichment and finally distribution of the golden copy to multiple audiences in diverse formats. This section describes some of the terms and concepts used by FDE.

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Providers: Vendors who specialize in financial data capture and distribution. Ex: S&P, Telukars and Reuters. Customers: Clients for whom the golden copy data is distributed. The end users or consumers of FDE services. Packages: Composed of holdings, the attributes the customer is interested in, and the provider from which these attributes are to be picked up. Feeds: The raw data that is entered into the FDE system for manufacturing and distribution. Users & Roles: Employees, can be internal and external. Entitlements: Products or services privileged to users.

Common FDE Operations

This section describes the common tasks performed by operations. Monitoring Feeds Reviewing Reports & Fixing Exceptions Monitoring Manufacturing Request & Approve New Securities

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Setting up FDE

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Before using FDE, the system must be configured to suit the organizations needs and scope. Some tasks include: Setting up providers Setting up Customers Setting up Feeds

User Privileges

Three types of users are configured in the FDE system - admin user, power user and normal user. Users are governed by the privileges assigned to them. The following table describes the tasks and activities performed by the different users. Admin User

Power User

Normal User

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Employees who are assigned the privileges of the admin users are empowered to view and configure the core services like creating users, customers, providers, products etc. Tasks like metadata management and master data management are performed by them. Power users have the ability to request for new securities. They create packages for customers,monitor feed and perform exception management tasks. Normal users do not have the privilege to view or access core services. These users monitor feed and perform exception management tasks.


Admin User View

Power User View

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When admin users log in, they see the home page with privilege to view and configure core services. Admin users have the highest privilege on the FDE system.

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When regular users or power users log in, they will see this view as their home page.

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Regular users perform feed monitoring and exception management tasks. They do not have the privilege to create, edit, approve or reject new security requests. They do not have the privilege to set package preferences, like distribution, schedule and alerts.

Normal user view

Refer power user view

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Welcome to Financial Data Enterprise (FDE) Financial Data Enterprise (FDE) is a comprehensive software solution for enterprise financial data management like historical and reference data, client and counter-party-data, risk and performance analysis data etc. popularly known as reference data. The solution covers equities, fixed income,

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money markets, futures, and mutual fund data etc. enabling a variety of data delivery options to suit specific organizational needs. The FDE software reduces 90% of manual effort involved in creating

and managing data acquisition and extracts. The automation of these routine tasks saves significant time and money for the financial enterprise.

Key features of FDE

Some key features that FDE provides to streamline operations and improve productivity: Manage and maintain accurate and timely reference data

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Holdings and position management; portfolio management

Multi-level monitoring, alerts and notification management

Reports and regulatory audit trails

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Ability to access multiple vendor sources ensuring best available data at market close

Net asset Value (NAV) exception process monitoring and management Increases data quality, data availability and user confidence Meta data driven inbound feed loading, transformation, enrichment engine and distribution

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Provide flexible, on-demand and customized data slices to stakeholders

Benefits

The benefits of implementing FDE Solution are many and are realized across the organization: •

Acquire, setup, maintain and distribute data extracts to internal and external entities leveraging existing Enterprise Data Repositories and Warehouses

Improve efficiency and productivity of Operations and IT groups to provide tailored content/formats to downstream applications and/or clients

Streamline data management and distribution processes

Streamline reference data operations leveraging existing enterprise data infrastructure

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Functions FDE is built around the following five major functions: Dynamic Feed Acquisition with Rule Engine

Data Distribution and package management

Viewing the Normalized data

Event Monitoring

Exception Management

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Feed Acquisition: FDE enables dynamic feed mapping which supports fixed length test and CSV files. It also supports Adaptors for interfacing with industry standard data vendors, application and

entities like Standard & Poor (S&P), Telukars and Reuters. Translations and enrichments are supported using a Rules engine that supports logical, arithmetic, relational and user defined functions.

Manufacturing and data Distribution: This module enables creation of slice and dice Golden copy using preference with arbitration rules including Hierarchy, Majority wins and Vendor arbitration. Allows distribution of Golden copy as an output file in various formats (Text, CSV and XML etc)

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Query View: Users can check raw data and normalized data using various search criteria based on key fields along with date. It also provides a facility to view the Golden Copy data.

Event Monitoring: This module displays all the in bound jobs along with statistics, which include number of exceptions, exception categories, number of auto fixed exceptions and number of records

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processed.

Exception Management: FDE has full-fledged workflow supporting grouping of various exceptions and

provision

for Maker –Checker concept.

It

supports

manual and auto fixing of

exceptions.

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FDE Modules Security Master – The global security master application lets a financial institution to process a variety of issue and price information from multiple sources and store it in a central repository. master

creates,

maintains

and

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Securities

publishes a standardized reference data repository for all financial instruments.

Counter-Party Services (Market data) - FDE Counter-party service lets your organization to

cross-reference and link market-level instrument

pricing and reference data to individual issuing

entities, through the actively maintained linkage

between Instrument Codes and FDE Counter party Identifiers.

Risk & Analytical Services (Fundamental

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Data) - FDE supports various types of risk and analytical

data.

It

includes

Cash

Flows,

Statistical Information, and Analytics.

Transactional & Position Services – FDE

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supports various types of transactional data

Order & Executions Data, Bespoke Strategies, Product Data (All Asset Classes), FX Rates.

Corporate Action Services - Supports acquisition, cleaning and distribution of all types of corporate action messages in both structured and un-structured formats

Fund-Accounting Services - Supports acquisition, cleaning and distribution of Funds reference

data, pricing and performance data

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Feature matrix The following table lists some of the powerful yet flexible features and capabilities of FDE. No.

Module

Description

1

User Management

Supports various types of users like Admin/Super, Power and Normal Users and Supports integrating with LDAP and OS user authentication

2

Customer Management

Supports typical organization hierarchies (Parent, Divisions,

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Groups)

Customer Entitlements based on –Data Packages

–Products and Hierarchy

3

Provider Management

Defines Provider details including support for Exception Management

4

Notifications

You can create Alerts and Notifications for

–At the provider, feed levels –Various system events

5

Product Management

This module is responsible for creating and mapping standard

logical product types (Equity, Fixed Income, Derivatives, Fund

Pricing, Transactional, Corporation Actions, Entities – Accounts, Counter-parties)

Metadata management

This module is responsible for Creating and Managing various

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type of data structures Out-of-the box library consisting more than 6000+ encompassing –Securities and Market Data –Company

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–Economic

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–Currency –Pricing and Descriptive –Client and Third Party Data –Portfolio, NAV and Products Data, –Holdings and Transactions Data –Legal and Compliance Data, –Collateral and Research Data –Risk, Performance and Reporting Data

Feed Acquisition

FDE supports dynamic feed mapping. Inbound files could be in Text or CSV format Adaptors for interfacing with Industry standard data vendors,

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SA Click the

Hyperlink from Feed details section of Edit feed details page. You are directed to

Edit Feed Columns page. This page has Record definition and Record Column list sections. You can make Logical record mappings to columns with data type, Maximum length, with Column name. Columns can be added or deleted from the existing columns list through Record column list section.

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In Provider feed List section of Provider Details page, you can do the Mapping and transformations by clicking the

hyperlink. This will display Feed mapping details

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page where all the feed mappings and feed rules can be viewed.

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Creating a New Feed

Description Select application type Select provider Enter file name Enter IP address (example: ) Enter user name Select file type Select checkbox whether header or tailor exists. Enter feed name Select interface Enter location Enter password Select the radio button whether fixed type or delimited type Check the radio button whether issue or issuer selection

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Feed Details Application type Provider File name IP Address User name File Type Feed header/tailor Feed name Interface Location Password Feed format Feed type

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To create a new feed, go to Core Services > Feed Acquisition > New Feed

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Feed Mapping (New Mapping and Transformation) Feed Mappings and Transformations module allows you to do following: •

Create a mapping between a source column and a Meta Object

Create a transformation on a source column and store resulted value in a Meta Object

Create a business rule on a Meta Object, which throws that particular record (or Security) into exception or into master table depending on rule action.

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Mapping: When we map a source column to a Meta Object, the value of a source column, which is from feed file, will be stored into column of master table of that particular provider.

Transformation:

When we do a transformation on a source column, some condition or some predefined function will be applied on value of the source column, and resultant value will be stored into column of master table of that particular provider.

Feed mapping section of Feed Mappings and Transformations page allows you to map feed to provider data service.

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Go to Core Services > Feed Acquisition > New mappings and transformations

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Application type Select application type Provider Select provider Feed name Select field name Service Select service Data Service Select data service Click Go after you enter the details.

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Enrichment Enrichment rules can be set to source columns by clicking the Enrichment Hyperlink. This takes you to New Transformation page where Transformations can be added to the Data. To add the Enrichment to Meta objects, predefined Conditions, Arithmetic’s, Functions and variables are available. Once the rule is set by clicking the add button, the system will add the element to List

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and Displays the Enrichment rule correspondingly on the screen

Mapping and transformations can be added through Feed mappings page, Source columns to be added to the respective Meta objects and can be added to the Mapping and Transformations List.

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Business Rule

We can test the value of meta object depending on the condition given in business rule and throw the record (or security) into the exception table (or mark it as warning) or into master table. Rules can be set to Meta Data by Clicking the

Hyperlink of Rules section. This will take you

to New Rules page where Rules can be added to the Meta Data. To add the Rules to Meta Data,

predefined Conditions and Functions are available. Once the rule is set by Clicking the Add button,

the system will add the element to List and displays the set rule correspondingly on the Rules section

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of Mapping and transformations page.

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Viewing Notifications

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Go to Core Services > Feed Acquisition > Notifications Here, you can search and add notifications to the list.

Adding Notifications

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Click Add notification (on the right side) and enter the notification details.

Application type Provider Name Feed name Email Select reason Message

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Select application type Select provider name Select feed name Add users, delete users Select reason Enter message


Load Monitor Home Use the Load Monitor for Feed Loading Management. In this tab, you have loading details with records loaded successfully, failure record count and total record count based on Job Id. From this page, you can select the Job ID and view the Job details. If any exception records are present, you can assign the exceptions for specific users for correction (how?). You can also set the predefined feed Schedules from the Feed Schedules Tab.

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Home

In FDE application, Load Monitor “Home� tab has the list of jobs done for loading feeds with the record counts of successful records, bad records and total records loaded. This can be done based on the search criteria of Application type, Provider and Feed. By default, all the Jobs will be displayed. You can navigate to specific Job Details page by clicking the hyperlink of job Id.

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Go to Core Services > Load monitor to view the job list.

Once you select a specific Job Id, Job Details page with Rules List and Exception Group List is displayed with the Job details. In the Job Details page, you can group the exceptions under user defined group name. After saving under specific group, the list will be sent to Exception Group list

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from Rules List. From the Exception Group list, you can send notifications to defined E-Mails, and can assign the group to various users for correction and approval.(how?) The Job Details page displays the Rules List and Exception group list. Rules added to exception group will be under Exception Group list, If assigned select all checkbox will disabled and will appear under Exception management for the Assigned user.

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The assigned user can fix Exceptions and can add comments to the edited values. Once the Exceptions are fixed, the Approver can approve the Modifications done and can resolve the exceptions from the Exception Management under respective Applications for the User Assigned to the Exception Group. (how? - explain)

Setting Feed Schedules

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In FDE application, Load Monitor “Feed Schedules� tab is used to set the Feed Schedules. By default Feed Schedules tab displays all the mapped feed list user can navigate to Set Feed Schedules page by clicking the hyperlink of Feed Name. This will display the Page where user can set the feed schedule based on the Set Load time, Reoccurrence Pattern and Range of Occurrence.

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Viewing Master Data

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Go to Core Services > Master data to view the master data list. You can search by master data and status drop down lists.

Adding New Asset Details

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Click on Add (on the right side of the list) to add new asset details. You can add the following items: Asset, Sub asset, Currency master, Exchange master, Reason codes, and Rule category.

Class code Class name Status Description Click Save.

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Enter class code Enter class name Select status Enter description


View asset details

Edit asset details

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Click on class code to view the asset details.

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Click Edit (option at the right side of the asset details) to edit the details.

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Securities Management Securities management involves setting up new securities, viewing the status of securities through workflow features and cross referencing. Using securities management, you can perfor the following tasks: Viewing securities list Set up new securities Check the status of new securities through workflow View cross reference details

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NOTE: A regular user does not have the privilege to create a new security request. Only power user can submit requests and admin users can approve or reject the security.

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The securities home page displays the issuer list with status details, sector, and industry group etc.

Searching securities: You can search for securities by issuer name, industry, sector, subindustry, industry group or status. Click the Issuer Name link to navigate into details of Selected Issuer details page.

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Setting up a new security master To set up a new seucrity, go to Security Master > New Security.

Click ‘Lookup issuer name’ and select the issuer (ref screen) Click ‘Lookup issue name’ and select the issue details (ref screen) Select the identifier type from the drop down list Enter the indentifier name Select the official place of listing from the drop down list Click’Add the market identifier code’ to add one or more identifier codes Enter comments , if any

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Issuer name Issue name Identifier Type Identifier Official place of listing Market identifier code Note / comment

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Enter the form details as explained in the table.

Lookup isuer

Click lookup issuer and enter some character in the text box and click ‘lookup issuer’ to

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display the list of issuers. Click on Issuer ID to enter the value in the issuer name column. Ref screenshot.

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Scrub Monitoring Scrub monitor displays the scrub jobs with the following details: Job ID, Package ID, Preference ID, Customer ID, Report time, Bad record count, Record count, Extraction status, Scrub status, manufacture status and distribution status. You can also search for scrub jobs using specific search criteria.

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Scrub monitoring is done or Market data, Fundamental data, Corporate actions, and Transactions modules.

Market Data (Same for Fundamental Data)

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Go to Market Data > Scrub Monitor to view the scrub home page.

View Scrub Jobs

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Click on the specific job hyperlink to view the job details and rules list containing Rules list contains Rule ID, Rule class, and Failure record count. This page lists all the exceptions occurred during the scrub process. You can select one or more exceptions and group it. You can assign these groups to users to correct and approve these exceptions manually.

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Import jobs Use the search criteria to find and list the import jobs. The import list displays the Job ID (hyperlinked), Group name, Import, Package Name, Time stamp, File name, File location, and Status.

Click the Job ID to view the package details and file details.

File details contains the error code, description, package ID, Instrument type, Mapped customer security code, security description, and action. Under action, you can FIX the errors. 1. Click FIX to view the error details and perform corrections on the Identifier type and Customer security code. Click Correct. 2. Click Save to retain the changes.

Fundamental data - Same as for Market Data. Corporate Actions – You can only view the scrub jobs. No import is possible. Transactions - You can only view the scrub jobs. No import is possible Confidential

FDE  

Confidential Document Release Notice Copyright notice Comments, suggestions, and queries should be addressed to PG FDE Implementation team u...

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