Dear Share Broker, SEBI ENHANCE CLIENT FUND REPORTING Date : 25 th July, 2017 Please find herewith the guidelines & explanation for Enhance Client Fund Reporting required to be submitted for the last day of the month i.e. 31 st July 2017. Please go through the documentation & explanation provided for each fields & the steps required for the computation, verification & submission of the reports. Please download latest margin utility from the Comtek website www.comtekindia.com/temp/cstxph.zip & unzip the files into comtek program directory & test run before 30 th July 2017. Please consult your compliance officer for the proper reporting of the figures. We have taken at most care to compute the Enhance requirements from SEBI with best of our knowledge & with the help of few share brokers & their compliance officer. However you are requested to verify the computation method, addition or omission required as per your specific needs. We seek your kind support as Net Funding Report required to be submitted on the first working day of the month only, we may not able to provide the on site support on 1 st August 2017, however our all support engineers will be available in the our office for on-line support. You are requested to make test / trail run before the 30 th July 2017 to avoid last minutes hurdles. Kindly note that Client wise funding report required to be submitted within seven days i.e. on or before 7 th August 2017. So please allow us to provide the priority for the NET Funding reporting only on 1 st August 2017. You are requested to update latest margin utility from the Comtek website www.comtek-india.com/temp/cstxph.zip on 30th of July 2017 for latest updates if any. Yours truly, For Comtek Software Technologies Pvt. Ltd. Back-Office Administration Team
PRELIMINARY PREPARATION Update Settlement date for last two settlement of Cash & check for Fund Pay-in & Fund Payout Dates for Holidays Margin Update for Cash & FO for last date of the month (i.e. 31/07/2017) BSE-Cash: Vedat or Dmdat file NSE-Cash: MG02 file NSE-F&O: MG13 file Update Bank Reconciliation up to last date of the month (i.e. 31/07/2017) for cash & Settlement Bank Accounts Update Clients Collateral up to last date of the month (i.e. 31/07/2017) for all the exchanges including Haircuts & Closing Price Update Hold Position for Cash from Demat <T>-Transaction-wise. Please note down the Funded portion of Bank Guarantee & Fixed Deposits from the exchange / clearing member collateral report, kindly refer to BSE/NSE Exchange Circulars for the relevant figures required to be submitted from their website. For BSE: HSddmmyy.nnn file (FDR+BG) For BSE: MPddmmyy.nnn file (6.Total Liquid Assets) Please note down the Non Funded portion of Bank Guarantee from the exchange / clearing member collateral report For BSE: Hsddmmyy.nnn file Please note down the unutilised value of collateral with the exchange / clearing member collateral report For BSE: MPddmmyy.nnn file (11. Balance Liquid Asset Available) EXTRACTION: Master Maintenance: 13-Sub Type Update Add record to identify Clients & Settlement Banks for all the exchanges ZCLBNK 01!03!05! Master Maintenance: 13-Sub Type Update For Multi exchanges, check for the following records ZRISK 0102! -- (Specify all the valid company division codes) ZCMP01 Program file Path for company division code 01 ZCMP02 Program file Path for company division code 02
STOCK: 77-Margin Utility: 1-Import Data Select File Type to Convert: E-Enhance Position VERIFICATION/MANUAL UPDATE STOCK: 77-Margin Utility: 5-Margin Update Select: <F>-Funding Select: <C>-Client-wise EXPORT FILE FOR CLIENT POSITION FOR VERIFICATION STOCK: 77-Margin Utility: 2-Export Data Select File Type to Export: <E>-Enhance Position Enter File Format: ACCENH for Client-wise Exchange-wise Position Enter File Format: ACCNET for Client-wise Net Position across the Exchange NET FUNDING ON FIRST DATE OF THE MONTH STOCK: 77-Margin Utility: 5-Margin Update Enter Settlement of Rolling of the last date of the month (ie. 31/07/2017) Select: <F>-Funding Select: <D>-Date-wise Update Collateral Amount & Note Down all the 12 Figures & update the same in Exchange CLIENT FUNDING ON WITHIN 7 DAYS FROM LAST DAY OF THE MONTH STOCK: 77-Margin Utility: 2-Export Data Select File Type to Export: <E>-Enhance Position Enter File Format: ENHBSE for BSE Exchange Enter File Format: ENHNSE for NSE Exchange TO UPLOAD DATA TO EXCHNAGE FOR NSE 1. Download Excel Template from the NSE Site 2. Open CSV File into Excel 3. Copy & Paste the CSV Data into NSE Excel Template 4. Save the File 5. Upload to the NSE Site
COMPUTATION OF ENHANCE FUND REQUIREMENTS 1. Account Balance Ledger Balances for all the exchanges / companies of all clients 2. Open Bills Amount Bill Amounts for last two settlements for which fund pay-in due after the last day of the month (in case of Bills prepared on transaction date only) Bill Amount & Debit Margin Amount for the last day of the month 3. Un-cleared Bank Transaction Outstanding amount as per the Bank Reconciliation for the Clients & Settlement Banks only In case of Bank Reconciliation is not done for the last day of the month, it will take the last un reconciled bank amount If Bank Reconciliation is not done for the given bank for the current year, the un cleared amount would be zero 4. Cash Margin Var Margin amount from the Margin File 5. F&O Margin Span Margin amount from the Margin File 6. Account Balance Credit Sum of (Account Balance Open Bills Amount Un cleared Bank Transaction) for all the exchanges per client, if Net Balance Credit, for verification take the Account-wise Net Summary Report 7. Account Balance Debit SUM OF (Account Balance Open Bills Amount Un cleared Bank Transaction) for all the exchanges per client, if Net Balance Debit, for verification take the Account-wise Net Summary Report 8. Credit Margin Utilised Minimum of Net Account Balance Credit for all the exchanges And Sum of Cash + F&O Margin for all the exchanges, for verification take the Account-wise Net Summary Report 9. Collateral Scrip Quantity Total Collateral Quantity given by the client for all scrip as per the collateral report for all the exchanges
10. Collateral Scrip/ISIN Count Number of Collateral Scrip/ISIN as per the collateral report for all the exchanges 11. Pledge Quantity Not available in Comtek, please enter manually if any 12. Fund Raised from Pledge Not available in Comtek, please enter manually if any 13. Last settlement date Last date of Squared off Balances for the Net Balance up to Rs. 1.00 across all the exchanges as per the Clients Financial Ledger ND for Settlement not done in last 90 days NA for NO Transactions before last 90 days (New Registrations) 14. Client Type Institute, Pro, Client Institutional & Own Accounts will be ignored while computation to the exchange Only Margin amount for Pro/Own Client is calculated for Exchange Funding Reporting 15. UCC Code Unique Client Code Please check for the followings fields are not empty before the submission: Unique Client Code Valid Client Email Id Valid Client Mobile No Client Name in case of NSE Reports will be generated only for the valid UCC Code updated in Master Maintenance Menu No. 15 in Client RefID field.