TOTAL ACCOUNT ACCESSPULSE USER GUIDE

FOR CORPORATES AND INSTITUTIONAL INVESTORS ONLY

Release 4

April 2019

CR

OS

S-A

SS

ET

RESEARCH

INVESTMENT & RISK MANAGEMENT SOLUTIONS

EXECUTION

PRIME SERVICES

Your partner in

Global Business

– 1 –

CONTENTS

WELCOME TO PULSE 3

HOME PAGE 4

ACCOUNT FILTERS 5

Creating Account filters 6

Editing Account filters 7

Removing Account filters 7

DASHBOARD 8

Trades 8

Positions 9

Balance 9

Trading Event 10

REPORTING 11

Reports 11

Report Builder 11

Scheduling 13

File Explorer 16

Statements 17

ALLOCATION 19

Summary View 19

Allocation Console 20

MATCHING 21

Preset Trade Matching 22

PORTFOLIO ANALYTICS / GPMxA 23

LINKS 24

APPENDIX 25

Pulse Standard Reports 25

Pulse Specific Reports 29

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3

MULTI ASSET

Reporting

REPORTING

ANALYTICS

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WELCOME TO PULSE

SG Markets Pulse provides direct access to real-time* and historical

transactions (up to two years), position and balance data for all asset

classes, namely listed derivatives, equities, FX, bilateral, cleared OTC, and

fixed income.

Customized reporting, portfolio-level computations, access to top day

allocations, trade reconciliation, and a sophisticated analytics tool are among

many benefits that Pulse offers.

*Please note that real-time is subject to timely receipt of data from third party providers

INTERACTIVE

HOME PAGE

Presentation “Back View”

Presentation “Front View”

The home page consists of 9 sections:

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MenuThis section has links to the portal

modules.

Summary

This section offers a visual summary of key

account data, including cash balance,

market value of assets in account, market

value of other assets and net liquidating

value

StatementsUsers can click on a row to pull up the most

recent statement for an account.

Messages Displays industry news and messages.

News Provides links to SGCIB news and articles.

Documents

This area will contain documents, reports,

etc. posted by your Client Service

Representative.

Accounts

Area where user selects date and account

filter. Changing these fields will reflect on

the summary and statement sections of the

home screen.

Main contacts

Displays contact numbers and e-mail

addresses for your Client Services

contacts.

Today’s Schedules Current status of scheduled reports.

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ACCOUNT FILTERS

Account filters represent groups of accounts and are maintained by users.

With filters, users can focus on subsets of the accounts to which they have

access. If, for example, one has access to 50 accounts, and he/she wants to

run a report on the futures accounts only, this can be accomplished by

creating a filter consisting of those accounts.

The accounts within a filter are listed below the filter drop-down menu.

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You can also visualize the underlying accounts of your filters in the other

dashboards (trades, positions…).

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Creating Account Filters

To create a new Account Filter:

1. Click the “Manage” button on the “Accounts” widget to open the Account

filter configuration page then click on “Add Account Filter”

2. The following pop-up will appear. Set the new account filter’s name and

click on “save”.

3. Lookup accounts using one of the three search criteria:

▪ Search Account by Customer

▪ Search by Account

▪ Search Account by Salesman

1. Lookup accounts using one of the five search criteria:

4. Select accounts and add them in the account filter.

5. The accounts will then appear in the account filter details on the top

right of the window. Once you have added the needed accounts, click

on “OK” on the bottom right corner.

6. The new account filter appears on your list of account filters

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Editing Account Filters

To edit an account filter:

1. Click on the orange button on the line corresponding to the account filter

you want to edit.

2. Then proceed as if you were creating an account filter.

Removing Account Filters

To remove an account filter click on the red button which represents a bin on

the line corresponding to the account filter you want to delete then confirm

that you want to delete the account filter by clicking on the “delete” button:

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DASHBOARDS

The Pulse dashboards offer direct access to multi-asset real-time

transactions, positions and balance data which is displayed directly on the

screen. Users have the option to copy, print or export the data to a CSV or

PDF file. In addition, there is a search box which covers data in all fields

displayed, both alpha and numeric. Also to note, symbols can be customized

to the user’s preferred notation – exchange, Bloomberg, or Reuters.

Trades

To view trade details:

1. Select the asset class which interests you (Futures in this example).

And click on “Trade” to access the transactions.

2. On top of the next page, select the date of interest and the relevant

filter.

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3. Transaction data will appear on the screen. Two additional levels of

more granular information can be obtained by clicking on the first row

of fields, then clicking on the second as seen in the screenshot below.

4. You can customize this view by hiding/showing columns or modify the

number of lines displayed on the screen.

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Balance

To access balance detail, click on “Balance” in the menu, then follow the

same steps as to retrieve transactions and positions details.

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Positions

Follows steps 1-4 listed above to retrieve position details, selecting “Position

& Valuation” rather than “Trade” in the menu:

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Trading Event

This module applies to listed derivatives. It displays significant dates, such

as last trade and first delivery date, pertaining to futures. A second level of

information can be accessed by clicking on the first row.

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Report Builder

Report Builder is divided into three areas: Customer, Private and Public.

To access the list of existing reports for each category (Private, Public,

Customer), click on “View Reports” to expand the tab corresponding to the

right type of report as shown below.

Open a report

Clicking on a report will open it in the report builder:

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REPORTING

The “Reporting” menu consists of 5 modules described below:

Reports

This section offers 150+ different reports available in different formats. For

the list of reports available in Pulse, please refer to the Appendix.

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Create a new report

1. Select the “New” icon in the toolbar of the Report Builder.

2. Select the data source Universe and click on “OK”.

3. Select the relevant universe and click on “OK”.

4. The Query Panel will display. Select the fields from the folders within the

universe and drag them to the Result Objects or Query Filters. The

arrows can be used as well to move individual fields.

5. Once completed, click on “Run Query” on the top right side of the

screen.

6. Once prompted, select the report date and click on “Run Query”. The

report will display on the screen.

At this point, the user can modify the report using the toolbar functions.

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Scheduling

A list of reports that users can schedule for delivery is included in the

Appendix. Schedules created at an individual user level will be delivered to

the user by e-mail. Depending of the user’s role, he/she may be able to

schedule Customer level reports to share with other users that belong to the

client.

Schedule a report

1. Click on “Schedule Creation” under “Scheduling”.

You will get to the following page where all the schedules are displayed. The

personal schedules are displayed under the tab “User Schedules”.

2. Click on “Create New” to set up a new Schedule.

3. Follow the different steps of the wizard.

▪ Choose the schedule name and select the relevant account filter then

click on “Next”.

▪ Select “Standard” or “Custom”.

▪ Select the desired report from drop-down menu.

▪ Select the relevant Account Filter.

▪ Select the filter Type (refers to time frame relevant to report type i.e.

Prior Day, Month to Date). For top-day reports, users can specify

days of the week, time range and intervals for delivery and time zone.

▪ Select the output format (Format options vary by report).

▪ Check “Send Blank Report” option to have blank files sent when there

is no relevant data for the report.

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▪ You can customize CSV files if you choose this format and also the

file name (for example if you wish to specify the date at the end of the

file name).

▪ Use CC and BCC fields as needed to add recipients to the schedule.

Type in the recipient’s e-mail address and select from the resulting

options. Note that recipient e-mails are limited to those linked to the

client.

▪ Save Schedule by clicking on “Submit Query”.

The new schedule appears in the list under “User Schedules”. It can be run,

edited and deleted at any time using the buttons on the tool bar as shown

below. It is also possible to run a schedule for an historic date.

Set up a FTP/SFTP schedule

The restrictions to use FTP schedules are the following:

▪ FTP schedule delivery is an option only available when setting up a

customer schedule.

▪ A user must have the following permission to use customer schedule:

CREATE_CUSTOMER_SCHEDULES

To set up a FTP delivery schedule, proceed as followed :

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When creating a customer schedule:

1. Go under the tab “Delivery Configuration”.

2. Under “FTP Configuration” tick the box “Send to local (SG) FTP Server:

“FTP_server_name”.

3. Users have the possibility to protect the files sent using PGP encryption.

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Monitoring

The Schedule Monitor allows users to check on the status of their scheduled

reports. The Status field will indicate the status of the schedule “SUCCESS”,

“FAILED”, “GENERATING_REPORT”…, as well as the time the report was

completed. Additionally, users can access the files from this page.

Additional Information on Report Scheduling

Availability of data for the various time frames is as follows:

Prior Day (T-1) available top-day; runs Tuesday through Saturday

Top Day (T=0) top-day data; can be delivered in 10, 30 or 60 minute intervals

Month-to-Date available top-day; covers first day of month through last business

day

Previous Month available as of the 1st of the following month (Sunday excluded)

Last Day of Last Month available as of the 1st of the following month

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File Explorer

File Explorer provides a view of the Pulse dedicated FTP server. Any

customer with access to SG FTP server can see the contents of it through

his/her Pulse access. Users can delete, upload, download files or create a

directory as on any Explorer.

Find a file

1. Click on the “File Management” link.

2. Click on the folder icon with the relevant customer name.

3. A list of files will appear along with an icon. Click on the icon to open the

file.

Upload a file

1. Click Browse.

2. Select the file.

3. Click on “Open”.

4. Click on “Upload”.

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Statements

Users can access daily and monthly statements either through the Home

Page or the Reporting menu. The date selected on the filter will determine

the statement date.

Home Page:

Reporting menu:

In the “Statements” section, after selecting daily or monthly, the statement

screen will display a list of accounts. The statement can then be accessed

simply by clicking the row referencing the account. It will display on the

screen and can be downloaded by clicking on the file item.

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Confirmations:

To access securities confirmations, users can either :

1. Click on “Confirmations” inside the “Statements” widget on the home

page

2. Navigate to “Reporting”>”Statements”>”Confirmations”

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ALLOCATION

Summary View

The “Summary View” provides graphic displays of trade matching results for

the current day, showing matched trades, trades by broker, lots by broker,

lots by exchange and lots by contract.

To view top-day allocation results, navigate to “Allocation” > “Summary

View”.

Based on the filter selected, this will lead to the Matched Trades screen

which shows detail on trades with the top 5 executing and clearing brokers:

matches and breaks, matches only and breaks only.

The Trades & Lots Breakdown tab shows the number of trades and lots by

executing broker, the number of lots by exchange and the number of lots by

contract.

Both screens can be customized using the drop down menus at the top of

the screen to narrow down trade type (break vs. match) executing broker,

clearing broker, exchange and contract.

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Allocation Console

To access the topday “Allocation Console”, navigate to

“Allocation” > “Allocation Console”.

The “Allocation Console” allows to monitor the intraday trade matching and

perform manual bookings depending on permissions:

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MATCHING

Trade Matching

The Reconciliation Matching Engine is a web-based tool that allows users to

deposit a trade recap file to match against their prior/top-day positions held

at SGCIB. Users can perform any of the seven different types of matches:

Positions, Trades from Today, Trades from Today with Carryovers, Trades

Posted Yesterday, Net Positions, Positions by Trade Price and Custom.

There are two main features of the Matching Engine. The first is the ability

for users to map their file specifications to match SGCIB’s recap system.

There is no set recap template that users have to follow. The second feature

is a progress bar that shows the percentage of trades (from 0 to 100)

matched.

Un-matched trades appear and notify the client that either (1) the trades

have yet to be posted to SGCIB or (2) additional mapping must be done to

complete the match.

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Preset Trade Matching

For trade volumes exceeding 10,000 records, clients can leverage the

Preset Trade Matching tool. It can match up to 6 business days, top-day

included. This application allows for comparison of client files to Socgen’s

data from GMI. Users can either manually upload their file through the UI or

deliver the file via FTP. Match results are delivered to the client once

available. The process is typically completed in less than 10 minutes,

depending on the file size.

By default, matching is done based on account; however, users can opt to

match by Broker. In this case, “as of” trades date will be included in the

match, not only top-day trades. For example, a trade from the previous day

that cleared top-day would be included. To avoid this, users can check the

“Exclude” option.

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The fields needed for completion of a match are listed in the table below.

Using the Preset Trade Matching user interface, clients can work with their

CSRs to map the above fields.

There are four potential match results:

1. Matched: All the columns in Mandatory Matching Criteria are the same

for both Client and SGCIB.

2. Mismatched Client: Quantity mismatched. All the columns in Mandatory

Matching Criteria are the same for both Client and SGCIB sides except

Quantity.

3. Client Only: Client side data has record(s) that SG does not have.

4. GMI Only: SG has record(s) that do not appear in the client file.

Column Name Data Type Notes

ACCOUNT_ID String GMI Account ID (Firm + Office + Account)

BUY_SELL_IND String B, S

CALL_PUT_IND String Options - C, P

Futures - <an empty space>

CONTRACT_YEAR_MONTH String yyyyMM

EXCHANGE String GMI Exch Code like 01, 02

PRICE BigDecimal By default rounded to Six digits.

SETTLEMENT_DATE Date LME / Fx only otherwise sysdate

STRIKE_PRICE BigDecimal By default rounded to Six digits.

Options – non-zero

Futures – zero

SYMBOL String Future/EquityOption symbol like ED

TRADE_DATE Date

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PORTFOLIO ANALYTICS / GPMxA

GPMxA (Global Portfolio Monitoring Cross Asset-Class) assists investors in

monitoring and analyzing their managed accounts across multiple strategies

and asset classes. This tool offers interactive charts and graphs covering

performance and risk at the portfolio, account and position level.

For additional information on this tool, please contact your SGCIB

Client Service Representative.

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LINKS

Through the Links heading, clients can access the following:

Trading, FX and OTC

▪ Fidessa Setup Information: a multi-asset workflow tool for derivatives

and equities

▪ Markitwire: an affirmation platform for OTC fixed income and Interest

Rate products

▪ Traiana Risk Management (TRM), a credit check tool for clients

trading on SEFs (Swap Exchange Facilities).

Useful Info

▪ Contract and Market Specs (FOW)

Help

▪ Pulse User Guide

Settlement Instructions

▪ SG Securities Australia

▪ Newedge Singapore

▪ SG Newedge UK

▪ SG Americas Securities

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Type Report name

Trades Daily FX Trades

Daily Trade Journal

Monthly FX Trade

Monthly Trade Journal

Positions FX Positions

Global Positions Report

Open Repo

OTC Options Exercise

Cash Cash Journal Report

Detailed Margin Report

Regulatory Reporting Client Money Report

Location Report

NLV & Risk Excess/Deficit Report

NLV Report

APPENDIX

Pulse Standard Reports

Statements

Multi-Asset

DPS

Fixed Income

Report name

Failing Trades - FI

Paid Coupons - FI

Pending Coupons - FI

Pending Trades - FI

Settlement Date Activity - FI

Settlement Date Cash Analysis - FI

Settlement Date Positions - FI

Trade Date Activity - FI

Trade Date Cash Analysis - FI

Trade Date Positions - FI

Report name

GMI Statement Daily

GMI Statement Monthly

Singapore GST Statement Monthly

Confirmations

Report name

DPS Borrow Cost

DPS Daily Synthetic MTM

DPS Daily Trades

DPS Daily Unwind

DPS Detailed Position

DPS Dividend Coupon

DPS Funding Cost

DPS Payment

DPS Reset

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Listed Derivative

Report name

Account Value Using Collateral Face

Activity

Activity Details by Account

Activity Summary

Balances & Equity by Currency

Collateral Summary and Valuation

Commission & Fee Breakdown

Commission Rates

Cumulative Position Summary

Currency Balance Matrix by Entity

Detailed Position Listing

Enhanced EOD Trades

IFTT Report

Inclusive Commissions

Margin & Daily Settlements

Margin Statements

Margin to Equity Ratio

Matrix of Options by Sector

Position Detailed

Position Summary

Positions by Account & Product

Positions by Product & Account

Prelim of all Top-Day Trades

Prelim Summarized by Price

Prior Day(s) Activity (GMIST4TXT)

Prior Day(s) Activity Extended (GMIST4TXT_EXT)

Prior Day(s) Balances

Prior Day(s) Balances (GMIMNYTXT)

Prior Day(s) Balances Extended (GMIMNYTXT_EXT)

Report name

Prior Day(s) Collateral Summary

Prior Day(s) Open Positions (GMIPOSTXT)

Prior Day(s) Open Positions Extended (GMIPOSTXT_EXT)

Prior Day(s) Positions by Account

Prior Day(s) Positions by Contract

Profit Details

Profit Summary

Purchase & Sale

Purchase & Sale Details by Account

Purchase & Sale Summary

Real-time or Prior Day(s) Cash Activity (GMIPNDTXT)

Real-time or Prior Day(s) Transactions (GMITRNTXT)

Real-time or Prior Day(s) Transactions Extended (GMITRNTXT_EXT)

Real-Time Transactions

SPAN Margin

Trading Event Calendar

Variation Detailed by Account

Variation Overview

Variation Summarized List

Volumes Grouped by Time

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Equities

Type Report name

Cash Analysis Cash Entries

Equity

Interest Activity

Margin Risk

Settlement Date Cash Analysis - EU

Settlement Date Cash Analysis - USA

Short Stock Detail

Trade Date Cash Analysis - EU

Trade Date Cash Analysis - USA

Trades Daily Trades

Failing Trades

Option Assignments

Pending Trades

Settled Trades

Trades by Date Range

Positions Position Detail

SEG

Settlement Date Combined Positions by Country

Settlement Date Combined Positions by Sector

Settlement Date Long Positions by Country

Settlement Date Long Positions by Sector

Settlement Date Short Positions by Country

Settlement Date Short Positions by Sector

Start Of Day Positions

Start Of Day Positions - Vendor

Tax Lot

Trade Date Combined Positions by Country

Trade Date Combined Positions by Sector

Type Report name

Trade Date Long Positions by Country

Trade Date Long Positions by Sector

Trade Date Short Positions by Country

Trade Date Short Positions by Sector

Profit and Loss Profit and Loss

Realised Profit and Loss

Dividends Paid Dividend

Pending Dividend

IntraDay Trades Intraday Daily Trades

Intraday Pending Trades

IntraDay Positions Intraday Trade Date Asset Valuation Combined Positions By

Country

Intraday Trade Date Asset Valuation Combined Positions By Sector

Intraday Trade Date Asset Valuation Long Positions By Country

Intraday Trade Date Asset Valuation Long Positions By Sector

Intraday Trade Date Asset Valuation Short Positions By Country

Intraday Trade Date Asset Valuation Short Positions By Sector

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Foreign Exchange

Span Files

Reference Data

Cleared OTC

Type Report name

Top Day Reports Limit Utilisation

OTC Cleared Real Time Trades Report

OTC Cleared Trade Registration Report

T+1 Reports Daily Billing Report

Daily Cash Activity Report

Daily Cash Flow Report

Daily Margin Excess Deficit Report

Daily Margin Report

Daily Positions Report

Daily Settled Cash Report

Daily Statement

Daily Trades Report

Monthly Reports Monthly Billing Report

Monthly Cash Activity

Monthly Consolidated Statement

Monthly Settled Cash Report

Monthly Trades Statement

ISDA CCS ISDA CCS Account Summary

ISDA CCS Collateral Holding

ISDA CCS Daily Activity

ISDA CCS Position and Trades

Report name

FX Commission Rates

FX Currency Pair

FX Money Balance

FX Net Currency Exposure

FX Open Positions

FX Open Trades

FX Options - Open Positions

FX Trades

Report name

Conversion Rates

Currency Account Types

Exchange Codes

Product Codes

Report name

XML Positions

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Pulse Specific Reports

EMIR Reports

Report name

EMIR Assisted View CDS - CSV

EMIR Assisted View CFD - CSV

EMIR Assisted View CFD_DPS - CSV

EMIR Assisted View Client - CSV

EMIR Assisted View Collaterals - CSV

EMIR Assisted View Commodities - CSV

EMIR Assisted View Equity Lookalike - CSV

EMIR Assisted View Equity Options - CSV

EMIR Assisted View ETD - CSV

EMIR Assisted View ETD Topday GMITRNTXT - CSV

EMIR Assisted View ETD Topday GMITRNTXT_EXT - CSV

EMIR Assisted View ETD Topday Realtime Transaction report - CSV

EMIR Assisted View FX - CSV

EMIR Assisted View OTC - CSV

EMIR Assisted View OTC Bond Lookalike - CSV

EMIR Assisted View OTC Rates Cleared - CSV

EMIR Assisted View OTC Rates Uncleared - CSV

EMIR Assisted View OTC TRS - CSV

EMIR Assisted View Variance Swaps - CSV

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FOR MORE INFORMATION

EUROPE +(44) 207 676 8300 pulse-london@sgcib.com

AMERICAS +(1) 312 762 1003 pulse-northamerica@sgcib.com

ASIA +(65) 6326 7925 pulse-asia@sgcib.com

Société Générale Corporate & Investment Banking (SG CIB) is a marketing name for corporate and investment banking businesses of Société Générale and its subsidiaries worldwide.Execution services in the United States are offered through

SG Americas Securities, LLC (SGAS), a U.S. registered broker dealer, futures commission merchant (FCM) and swap dealer. SGAS is member of NYSE, FINRA, NFA and SIPC. Lending, derivatives and other commercial banking activities are

performed by Société Générale (SG) and its banking affiliates. Prime services is offered in the U.S. through SG’s Global Markets division. Services provided outside the United States may be provided by affiliates of SGAS. This material has

been prepared solely for information purposes, and does not constitute an offer, a solicitation of an offer or invitation, or any advice or recommendation, from SG or any of its affiliates to buy or sell any security or financial instrument or product,

or participate in any trading strategy, activity or arrangement. Not all securities or financial instruments or products offered by SG are available in all jurisdictions. This communication is not intended for or directed at retail clients/investors in or

outside the United States. It is for institutional and/or qualified investors only. Please contact your local SG office for any further information.

© 2019 Société Générale and its affiliates. All rights reserved.

CR

OS

S-A

SS

ET

RESEARCH

INVESTMENT & RISK MANAGEMENT SOLUTIONS

EXECUTION

PRIME SERVICES

Your partner in

Global Business

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