Multiple Securities

The system is handles
– Funds
– Bonds
– ETF’s
– Equities

To simplify the Securities process and how the securities relate to the client process, refer to the workflow diagram below.

Security Providers

The highest level in the “Securities Control” is the “Security Provider”. These security providers collect all the different securities together. These are inputted within the application to categorise a group of securities under one security provider. One can create a new security provider by simply clicking on the “Create Security Provider” in section A. Make sure to fill the required fields.

ID Description
A Detailed filtering on the security provider name and website address. To use these filters type text that relates to each column and tab to search. This search works even with partial matches, therefore even part of the name will be found.
B “Operations” menu enables a user to carry out a specific action related to Securities area. “List Security Providers” is the current view and “Create Security Providers” allows a user to create a new client.
C This is a list of Security Providers within the system. This list is alphabetically ordered.
D Once a client is located, depending on the user access rights, the following actions can be effected. If a user does not have rights the buttons won’t be displayed to the user.
View – All users have view rights to clients data
Edit – allowing a user to alter data already created. Once altered, the changes go into the audit area, before being confirmed the data will not be changed in the system.
Delete – allowing a user to delete an entry. All deleted data must be accepted via an audit.
E Currently the listing of each page has 10 rows of data. A user can use the paging area to select different pages. This paging feature is needed when a user needs to navigate multiple client pages.

In order to create a new Security Provider, click on the “Create Security Provider” button found in section B of Figure 20 found in the previous page. Once clicked the “Create page” is loaded for the user.

The system needs a minimum of the Security Provider Name for a Security Provider to be created. This can be altered should a company require other compulsory fields.

Securities

Once a Security Provider has been created multiple securities can be added to the system to make up all the potential investable securities the company has at its disposal. These securities can then be recommended and used by client. For a Security to be accurate its “daily” price needs to be entered into the system. To access the securities area click on the Securities button found under the Securities Control.

A Advanced search can be opened and closed by clicking on the “Advanced Search” text. This search tool allows users to search for Securities by Security Provider, name of Security, Security ISIN Number or Share Class Currency.
B Detailed filtering on the security name, Security Name, ISIN and Share Class Currency. To use these filters type text that related to each column and tab to search. This search works even with partial matches, therefore even part of the name will be found.
C Operations menu enables a user to carry out a specific action related the Securities Area. List Security Providers is the current view and create Security Providers allows a user to create a new client.
D This is a list of Securities within the system. This list is alphabetically ordered.View – All users have view rights to clients data
Edit – allowing a user to alter data already created. Once altered the changes go into the audit area, before being confirmed the data will not be changed in the system.
Delete – allowing a user to delete an entry. All deleted data must be accepted via an audit.
E Once a client is located depending on the user access rights the following actions can be effected. If a user does not have rights the buttons won’t be displayed to the user.
F F. Currently the listing of each page has 10 rows of data. A user can use the paging area to select different pages. This paging feature is needed when a user needs to navigate multiple client pages.


Security Prices

Security prices – Directly linked to the securities, these prices change daily. Currently these prices need to be inputted manually each day but automation of this process is possible. To search for results, click on the date field and choose a date from the calendar, then click on the search button, reference Figure 24.

A Security price date. By default the current date is loaded. To load a specific date, select the date needed.
B “Operations” menu enables a user to carry out a specific action related to the Security Prices. “List Security Prices” is the current view and “Create a security price” allows a user to create a new Security Price.
C This is a list of Security Prices within the system. This list is ordered by date the security was added.
D D. Once a client is located, depending on the user access rights the following actions can be effected. If a user does not have rights the buttons won’t be displayed to the user.
View – All users have view rights to client’s data.
Edit – Only the price value can be altered Once altered, the changes go into the audit area, before being confirmed the data will not be changed in the system.
E Once a client is located depending on the user access rights the following actions can be effected. If a user does not have rights the buttons won’t be displayed to the user.
F Currently the listing of each page has 10 rows of data. A user can use the paging area to select different pages. This paging feature is needed when a user needs to navigate multiple client pages.

One can also create new security prices. Click on the “Create Security Price” button in section for the system to direct you to the form. To add a security price, the following process must be completed as the system works with a dual entry system.
1) A user goes into the security prices, and adds the security prices.
2) Another user goes into the security prices and adds the same security prices.
3) If the security prices match then the price is taken, if the value does not match the user is notified that there is a miss match and asked which price is to be retained.
4) The amended price needs to be inputted again by a different user. This process will keep on going till two prices match.

The status of the each entry is denoted by a coloured status indicator next to each respective entry.

A Security price status legend.
B Security price status column shown the status of each individual price while values are being entered.
C This is a column showing the respective price on the previous day.