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Mutual Fund Back office product user manual

IBL /MFD / PTM / V.001 / 12.07.2006

MUTUAL FUND BACK OFFICE

PRODUCT USER MANUAL

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ChapterNo.

Contents PagesSection 1 User Transaction Menus

Product Tree

1 Creation of client

2 Modification of client details

3 Checklist for client details entered

4 Process for Folio transfer

5 Creation of Investor

6 Modification of Investor details

7 Transaction entry

8 Modification of Transaction entry

9 Data not received from branch

10 Data not received from registrar

Section 2 - MIS reports

11 Transaction details menu - Introduction

12 Transaction details menu With parameter option

13 Allocation reports Introduction

14 Asset allocation report

15 Sector allocation report

16 MF allocation report

17 Company industry allocation report

18 Company consolidated allocation report

19 AUM report Introduction

20 AUM report with parameter option21 AUM report Household wise

22 AUM report Investor wise

23 AUM report Product wise

24 AUM report Product issuer wise

25 AUM report RM wise


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ChapterNo. Contents Pages26 Portfolio report Introduction 27 Portfolio report Comprehensive portfolio 28 Portfolio report Portfolio summary 29 Portfolio report Return analysis 30 Portfolio report Investor summary 31 MIS report - Introduction 32 MIS report with parameter 33 MIS report Asset class wise 34 MIS report Household wise 35 MIS report Issuer product wise 36 MIS report Investor wise

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Mutual fund Back office manag er (Online version) User manual

Website address is 10.27.15.99/mutualfund and the login screen of the back office manager online

version will be like this,

User can login using the login id and password allotted to him. There is also a provision available for

changing the password

Password controlsLogic for password:

1. Password must be 8 characters

It must containa. Minimum 1 special character from anyone of these exclusive characters viz. !, @ ,# , $ , % , ^ , & , *

b. Minimum 1 numeric value (0-9)

c. Minimum 1 alphabet (A-Z, a-z)

2. Password is case sensitive

3. It should not be any of the previous 5 passwords

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For example, Password can be: Indus@123

As soon as the user logs in the first screen will display the following menus

Product Tree

Main Menus

1. Portfolio report

2. Transaction details

3. Allocation report

4. AUM report

5. MIS report

6. Direct client

7. Create investor8. Transaction entry

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Sub Menu Under each main Menu

Portfolio report

Comprehensive portfolio

Portfolio summary

Return analysis

Investor Summary

Snapshot report

Transaction details

With parameter

Bonus

Dividend

Purchase

Redemption

Switch in

Switch out

Allocation report Asset allocation

Sector allocation

MF allocation

Company allocation

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AUM report

With parameter

Household wise

Investor wise

Product wise

Product issuer wise

RM wise

MIS report

With parameter

Asset class wise

Household wise

Investor product wise

Investor wise

Direct Client

Create direct client

Checklist

Folio transfer

Create Investor

Create investor

Transaction entry

Transaction entry

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Checklist


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Data not received from Branch

Data not received from registrar

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Investor transactionsEnrollmentThe customer walks in to your branch. If He / She is a new customer to IBL for mutual funds, the first

activity for a new customer is to fill the enrollment form After filling the same the branch has to take a

copy of the same and send the copy to Chennai office at the below mentioned address

IndusInd bank Limited

Third Party Distribution Cell

New no 92 (Old no 86) Chamiers road,

Chennai 600018

Telephone 044 24356676

Branch has to retain the other copy for records. Enrollment form is available in 10.70.70.2/mutualfund

Documents to be collectedThe following documents needs to be collected and sent along with the enrollment form to fulfill KYCnorms and basic documentation.

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Docum ents Com panies Societies PartnershipFirms

Trusts IndividualAddress Proof

Identity Proof

Proof for Bank account

PAN Proof

Resolution / Authorisation to

Invest

List of authorized signatories (with

specimen signature)

Memorandum and Articles of

Association

Trust deed

Bye Laws

Partnership Deed


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Creation of client in the systemFor creating a new client you have to select the direct client menu

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Direct client Menu

Once you click the direct client menu the following screen appears

You can see it contains the following sub menus

1. Home

2. Sign out

3. Create direct client

4. Checklist5. Folio transfer

Home and sign out are common sub menus. Home moves the user back to the first page whereas sign

out option logs out the user.

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Create direct clientThis menu is where we are going to capture the customer details. The following details of the customerare captured

1. Client Name

2. Branch (gets displayed automatically)

3. RM (gets displayed automatically)

(Branch and RM details are retrieved from the masters already created)

4. Address 1,Address 2

5. City (if city is not there then intimate us for creating city by mailing to [email protected])6. Location

7. State

8. Pin code

9. Phone (STD code phone number is the format, if multiple phone numbers needs to be entered

then # must be used as separator. Example 044-24356676#24322806)

10. Mobile number

11. Fax

12. Email

13. Customer type (Individual / Service)

14. Category (Active / Passive)

15. Birth date

16. Anniversary date

17. Occupation (Executive / Professional)

18. PAN

19. Remarks

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20. Introducer code


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The screen will look as follows

once you key in the details press save button to save the details.

1. The fields mentioned with * are mandatory fields.

2. Branch and RM details are automatically retrieved from the master.3. In the Introducer please type the introducer name or his bank account number in full.

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4. PAN number of the investor is mandatory for our records.


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Mod ification of client details

Editing / Modifying details for a existing client;

1. Enter the client name and select view option. The following screen will be displayed

2. Here at the bottom you have an option called edit, using this you can modify the existing data.

3. If you are not able to recollect the customer name for modification then leave client name as blank and

press view. A list of all the clients will appear and you can choose one for editing

Exit option is useful for exiting from the screen. While previous and next buttons are used for moving to

the previous and next screens

A RM can view only the data pertaining to his client. He cannot view the data pertaining to another RM in

the same location / other branch.

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Folio Transfer

If there are two Relationship Managers (RM) for the same location and the client of one RM has been

wrongly posted to another RM then this menu can be used. The user has to select the Source RM (Nameof the RM from whom the business needs to be transferred), Destination RM ( to whom the businessneeds to be transferred), Investor name and folio needs to be selected. This option is applicable for

Branch Login and not for RM logins. This option is temporarily blocked and if you want to change the

folio please mail to [email protected] with the following details

Investor name and folio

Source RM name

Destination RM name

Operation procedure of this menu in case of Branch login

Press the transfer folio button for transferring the folio. The screen for the above operations will be as

follows

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mailto:[email protected]:[email protected]


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Create Investor

Create Investor Menu This menu will be useful for creating multiple investors under the same client. This

Menu will be useful for mapping the clients under one name (if more than one person start investing froma family). Each client is treated as an investor and there might be multiple investor under one client

if the user select the create investor option it asks for the following details

1. Investor name

2. Branch and RM (are already selected based on the logins)

3. Then if the user chooses client option then Client / Agent dropdown menu getsactivated. User can choose the client name from the dropdown

4. Address details

5. City

6. Location

7. State

8. Pin code

9. Phone no (Same logic as mentioned in client creation)

10. Mobile

11. Fax

12. Birth date

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13. Email


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14. Investor type

15. Investor category

16. Contact person

17. Contact person email id18. PAN

The screen will be same as follows and has similar options like client menu for modifying details

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Modification of Investor details

In case if you want to modify the details of the investor entered then the following procedure must be

used

1. Enter the investor name and select view option. The following screen will be displayed

2. Here at the bottom you have an option called edit. If you press that option the data which you

have selected is ready for editing3. if you are not able to recollect the Investor name for modification then leave Investor name as

blank and press view. A list of all the clients will appear and you can choose one for editing



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Process for Sub broker enrollment

1. First the sub broker has to fill in the questionnaire and a copy of the same along with required supporting

documents (like PAN prrof, ARN number, Address proof,Bank account proof etc)must be forwarded tochennai by the respective offices.The rates agreed with the sub broker must be forwarded by the branches to chennai along with the questionare for updating the same in the system.

The following details must be provided while sending the rate agreed ( a format will be sent for the same inthe next mail)

Example:

Existing Equity Schemes

Volume commitment given by the sub broker (every month):

Business Slabs Commission rates1000000 - 2000000 1%2000000 - 3000000 2%

While deciding the commission rates we should take into mind the rates receivable by us. Do not commit ontrail and to start with we will do only equity and balanced schemes which give us 2.25% (since the debtschemes provide us very low commission we may not be in a position to pass on the same to the sub broker)

For NFO do not commit anything before we receive the structure from the AMC. We can communicate it tothe sub broker thru a separate correspondence.

2. The Empanelment letter will be sent from chennai to their respective sub brokers on receipt of thequestionnaire

3. The empanelment will be sent in duplicate. one for the sub broker records and the other to be signed bythe sub broker as a acceptance to the terms and conditions stated and must be returned to us

4. A unique code will be allotted to the sub broker in the empanelment form. In all his transactions he has toaffix this code in the application form in the sub broker column. If the code is not affixed then the businesswill not be considered " as sourced by sub broker"

Kindly intimate them to affix the code allotted in all the application form under sub broker column

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Transaction entryThe Transaction details of the client needs to be captured in the menu called Transaction entry.

The transaction entry menu has the following sub menu

1. Transaction entry

2. Checklist

3. Data not received from branch

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4. Data not received from registrar


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For scheme search..

When you click the search option the following screen appears

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You can search client / sub broker name using this sheet.

Similarly the same process can be adopted if you dont know the scheme name.

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SIP Transactions

In case of SIP choose the sub transaction as SIP. A screen will appear as below for capturing the SIP

details. Please remember to turn on the popup blocker

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Please enter the period, cheque details, amount, starting date and press enter.

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STP transactions

In case of STP choose the sub transaction as STP. A screen will appear as below for capturing the STPdetails. Please remember to turn on the popup blocker

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SWP transactions

In case of SWP choose the sub transaction as SWP. A screen will appear as below for capturing the SWP

details. Please remember to turn on the popup blocker

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Switch

For switch select the sub tran type as intra. It will allow you to select the switch in scheme details

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Modification of Transaction details

In case if you want to modify the details of the transaction entered then the following procedure must

be used

1. Select the client name ,from ,to date then press select search option. The following screen will be

displayed

2 Here at the bottom you have an option called edit. If you press that option the data, which you

have selected, is ready for editing

3 if you are not able to recollect the client for modification then leave client name as blank and

select the from and to date and press search A list of all the Sub broker will appear and you can

choose one for editing



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ChecklistThis menu is useful for you for cross verifying the data entered during a particular period. Thefollowing screen appears when you click the checklist menu

here you can select the from and to date within which you want to view the record. After choosing the

dates if the user selects show then the data gets displayed in the screen. If he wants to export the same

to excel then he can choose export to excel option. If the user wants to view the same as HTML format

then he can select EX HTML option. When you select the show option the screen will be as follows

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Data Not received from BranchThis data specifies the details of data, which has been loaded from the registrar but not received fromany of the branches. This case may arise when the branch has forgotten to key in the transaction detail

Data Not received from registrarThis menu specifies those cases that has been keyed in by branches but not matched with registrar

details. These types of cases arise when the registrar data is not uploaded for a particular time period.

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Section -II

MIS related reports / menusTransaction details menuUsage of this menu : This menu is useful for viewing the transactions entered so far. The reports are

further classified into transactions relating to Purchase, Redemptions, Dividend etc

The transaction details menu has the following sections

1. With parameter

2. Bonus

3. Dividend4. Purchase

5. Redemption

6. Switch in

7. Switch out

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The first screen is as follows


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Transaction details menu with parameter

When you select the Transaction details menu with parameter the following report is displayed

1. If the client option is selected data can been viewed client wise

2. If the user wishes to view the data agent wise then he /she has to select the agent option

3. If a investor group has been created and transactions pertaining the entire group can be

viewed

4. Transaction type needs to be selected. Then the product and issuer has to be selected

5. select show grid option the output will be displayed.6. Similarly separate screens are available for bonus, dividend, redemption, purchase,

switch in, switch out and other transactions can also be generated through independent

menus available. The user can use the next and previous buttons to view the transactionsSample screen for purchase transactions

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Allocation reportsUsage of these reports : Basically allocation reports provides the details of portfolio allocation of thecustomers. There are various classification of reports like

1. Asset allocation

2. Sector allocation

3. MF allocation

4. Company(industry)allocation

5. Company consolidated allocation

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Asset AllocationThis report shows the % of holdings in equity, debt and other portfolio composition for the scheme

selected

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Sector Allocation

Sector allocation provides insight into the various sectors in which the particular scheme of the investorhas invested in. In case of an investor having multiple schemes the sector allocation will vary depending

on the schemes.

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Mutual fund AllocationThis report of mutual fund allocation shows the details of various types of funds in which the investor has

invested and the percentage of holding

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Comp any Allocation (Individual)

This menu shows the company wise contribution of customer portfolio based on the schemes he has

invested

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Company Allocation (Consolidated)This menu shows the company wise contribution of customer portfolio based on the schemes he has

invested

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AUM report

Usage of the report : This report helps the user to view the current Asset under Management in his area.

This report can be viewed as RM wise, Investor wise, Product wise, Product issuer wise, Household wise.

The front screen in this menu will look as follows

it has the following sub menu

1. With parameter

2. Household wise

3. Investor wise

4. Product wise

5. Product issuer wise

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6. RM Wise


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AUM report - w ith parameter

The basic report will ask the user to choose various parameters. The user can select client to view the

report client wise, agent to view the details agent wise and Investor groupwise to view it according to theinvestor group. If the user wants to view the report for all the categories then he can press the show

button. The following screen will be displayed

.

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There are various buttons like previous, next, export to excel , exhtml which can be used by the user

according to his convenience.

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AUM H ousehold WiseThe household wise option provides the details according to mutual fund AMC wise. The details will be

shown as per the following screen

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AUM Investor wiseThe investor wise option provides the details according to each individual investor. The details will be

shown as per the following screen

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AUM Product WiseThe product wise option provides the details according to the various Third party Products which we havesold. In case of other than MF if the branch has sold RBI Bonds or IPO then the details are captured

separately.

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AUM Product issuerWise

The product issuer wise option provides the details of the business done with various third partyorganizations . for example AMC wise details for mutual funds. In case if we have promoted NABARD

capital gain bonds then details of the same is displayed.

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AUM RM w iseThe RM option provides the AUM according to each RM The details will be shown as per the followingscreen

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Portfolio ReportPortfolio report gives the details about the customer portfolio. It has the following sub menu

1. Comprehensive portfolio

2. Portfolio summary3. Return analysis

4. Investor summary

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5. Snapshot report


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Comprehensive portfolioThis report helps the user to view a comprehensive portfolio of a client / Investor. This report provides

the following details

1. Investor name / scheme name / Folio no

2. Transaction date

3. Transaction price

4. No of units

5. Transaction amount

6. Current NAV date

7. Current NAV

8. Balance units

9. Current amount10. Dividend amount received

11. Dividend reinvestment details

12. Profit / Loss

13. Profit / Loss booked

14. No of days holding

15. Absolute return in %

16. Simple annualized return %

17. CAGR

18. XIRR

19. LTCG accrued (Long term capital gain)

20. LTCG Booked

21. STCG accrued (Short term capital gain)

22. STCG booked

23. Net gain

The report will be displayed as follows

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Return analysis

This report provides the following information to the user

1. Investor name / scheme name / Folio no

2. Transaction date

3. Transaction price

4. No of units

5. Transaction amount

6. Current NAV date

7. Current NAV

8. Balance units

9. Current amount10. Dividend amount received

11. Dividend reinvestment details

12. Profit / Loss

13. Profit / Loss booked

14. No of days holding

15. Absolute return in %

A sample report is as follows

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Investor summ ary

This section of portfolio report provides information about the following :

1. Nature of portfolio (equity or debt)

2. Investor folio no

3. Scheme name

4. Portfolio allocation

5. Total amount invested

6. Outstanding units

7. Value of investment as of today

8. Dividend received

9. Total absolute return10. Total annualized return

The report can be viewed client wise or sub broker wise

The sample report is attached

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Snapshot reportSnapshot report of an Investor gives information about the various schemes in which the investor has

invested.

The information given about each scheme are as follows

1. Latest NAV of the scheme

2. Latest NAV date

3. 52 weeks high NAV

4. 52 weeks high NAV date

5. 52 weeks Low NAV

6. 52 weeks Low NAV date

7. Fund category8. Launch date

9. YTD returns

10. Rate for return for various periods like 1 Month , 3 Month, 1 Year ,3 year, 5 year, Since date of

investment

The user has to select the client and select the scheme (if required ) and press the show button to view

the details

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MIS reportThis report gives the user a brief idea about the number of applications given to each AMC, Number of

applications given by each investor , total number of redemptions etc. This report is classified intofollowing sub menu

1. With parameter

2. Asset class wise

3. Household wise

4. Issuer product wise

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5. Investor wise


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MIS report With parameter

This report shows the collection details (application numbers ) client wise.

The user has to enter / select the client or agent for whom he wants to view the detail, The report can be

viewed for a particular period or without date specifications also.

There is one report mode to choose which displays the report

Asset class wise

Product wise

RM wise

Client / agent wise

Investor wiseIssuer product wise

The report will show the following details

1. Issuer name

2. Product name

3. Number of applications

4. Gross collections

5. No of application for redemption

6. Amount redeemed

7. Total applications

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8. Net collections


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If you click on the report mode as Issuer product wise then the following report gets displayed

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MIS - Asset class wiseThis MIS report provides the category wise amount collected like equity, debt, FOF etc

The report shows the following details

1. AMC name

2. Debt

3. Equity

4. Equity & debt

5. FOF

6. Guilt

7. Short term debt

8. No of applications for the AMC

9. Gross collection10. Redemption application numbers

11. Redemption application amount

12. Total application

13. Net collection

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MIS Household wise

This reports shows folio wise application received, redemptions made. The details displayed in this

report are as follows1. Folio number

2. Investor name

3. RM code

4. RM name

5. Region

6. Zone

7. Branch name

8. No of applications

9. Gross collections10. No of redemptions

11. Redemption amount

12. Net application in numbers

13. Net collection

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MIS issuer product wiseThis report shows the Number of applications sourced for each AMC , details of redemptions and netbusiness sourced for particular AMC .The details displayed in this report are as follows

1. AMC name

2. Product name


4. Gross collections

5. No of redemptions


7. Total applications

8. Total Amount collected

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MIS Investor wiseThis report shows the Number of applications collected from each investor , details of redemptions

and net collection details The details displayed in this report are as follows1. Investor name

2. Agent code

3. Agent name

4. RM code

5. RM name

6. Region

7. Zone

8. Branch name


10. Gross collections11. No of redemptions


13. Net application in numbers

14. Net collection

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Note : Export to excel option is available in all the reports for exporting the same to excel.

For viewing in HTML format the exhtml button has to be cliecked