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Checking limits.
This verifies that the limits set to the user are as per our
criteria.
On Admin terminal click Control Surveillance Maintenance.
Scrip Master
Stock Watch
Open Positions
Limit Check
ODIN Messages
If we give limit for particular client code.
Message should flash - LIMIT GIVEN FOR CLIENT CODE ____.
If any future or Option is block from admin terminal.
Message should flash - THIS OPTION/CONTRACT IS BLOCK FROM SYSTEM. YOU
CAN PUT ORDERS ON DIRECT TERMINALS.
If client put orders with (margin option) for selling of their pool or
demat holding & gets rejection.
Message should flash - YOU CAN PUT SELL ORDERS IN DELIVERY OPTION.
If client is not having proper master & system rejects order due to
this.
Message should flash - FOR SCRIP _____ YOU ARE REQUESTED TO TAKE NEW
MASTER FILE.
If client is punching orders for code which is not open in any
segment from KYC.
Message should flash - YOU HAVE TO CO-ORDINATE WITH KYC TEAM AS THE
MENTION CODE WAS NOT OPEN IN KYC FOR GIVEN SEGMENT.
MTM Limit (%) It is the permissible amount of loss on Deposit set, after which the system will
not accept any fresh orders. Default Value 60% ; Range 1-100%.
Minimum Limit This gives the flexibility to set Minimum Limit that a client should get irrespective
of whether he is in debit.
Haircut - Currently Poor holding is been considered while calculating the limit with flat 50% haircut
Master. In case if the branch doesnt want to give any limit against Poor holding, same can be
defined here by defining 100% haircut. This will ensure that Poor holding value will not be
considered while calculating the limit, but incase if the same has to be considered on exceptional
basis then branch can define haircut between 50% to 100%.
Un reconciliation cheque limit Cheque deposited in the bank is entered in the back office by the
branch, but the same is not cleared in the bank. For such entries if the branch doesnt want to
give limit, then the same can be blocked through the dealer and E-broking Limit generator master
by selecting No option .This will ensure that unclear cheque value for that Sub-broker / Client
wherever No option is selected will not be considered while generating limit file.
POA allowed - Branches can allow or restrict limit & shares fetching from DP to Pool account for
particular Sub-Broker or Client by selecting Yes or No via this facility.
Minimum
Default
Limit
Limit
(Holding &
s
Collaterals)
Clie
agai
nt Clien
POA
MTM
nst
Cat
t
Allo
Limit
Uncl
ego Type
wed
ear
Com
ry
Optio
Blue
Aver
Valu
Valu
Cash
modit
Good
Poor
Block Cheq Qty
n
chip
age
e
e
ues
y
Limit Multiplier
HNI
All
2.0
1.0
1.0
B2C
2.0
1.0
1.0
B2B
2.0
1.0
1.0
All
2.0
1.0
1.0
B2C
2.0
1.0
1.0
B2B
2.0
1.0
1.0
All
1.0
1.0
1.0
B2C
1.0
1.0
1.0
B2B
1.0
1.0
1.0
All
1.0
1.0
1.0
B2C
1.0
1.0
1.0
B2B
1.0
1.0
1.0
All
1.0
1.0
1.0
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
Exchange VaR
Same as that of
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
flat
50%
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
Yes
60%
Yes
-1
Yes
No
60%
Yes
-1
Yes
No
60%
Yes
-1
Yes
No
60%
Yes
-1
Yes
No
25,00 5,000
0
,000
25,00 5,000
0
,000
25,00 5,000
0
,000
20,00 3,500
0
,000
20,00 3,500
0
,000
20,00 3,500
0
,000
15,00 2,500
0
,000
15,00 2,500
0
,000
15,00 2,500
0
,000
10,00 1,500
0
,000
10,00 1,500
0
,000
10,00 1,500
0
,000
10,00 1,500
LOGIN PAGE
Exception Report will display all exceptions kept at Region or Branch level or
for any Sub-Broker or Client
History Report will display all changes done for any Region or Branch or SubBroker or Client for mentioned dates
Any exception for Region, Branch, Sub-Broker & Client can be set here
EXCEPTION MASTER
EXCEPTION REPORT
When clicked on Edit, Limit Master will be displayed where any changes can be done. Delete option will
entirely remove that Exception.
HISTORY REPORT
Input fields
Client Adding
Client Mapping
Rejection Types
BSE Equity Market not allowed for Client
Reason: BSE market is not allowed to this client.
Solution: Check the client code in back office whether the account is open in given segment or not
and then give the rights as per requirement.
Limit exceeded Set=115, N.Used=150, Prev=0, T.Free Qty=0 of Equity (NSESettlement) of C159
Reason : There are 115 shares in holding and client wants to sell 150 shares through stock watch.
Solution: Client has to be intimated about the number of shares present and hence needs to modify
and place the new order.
Only delivery order allow V1550
Reason : Client is placing order in T, TS or Z group scrips.
Solution : Put such order only as delivery & not as margin.
New Positions for given scrip are not allowed for user id
Reason : New or fresh order is not allowed to trade.
Solution: Check our criteria of removing the scrip from the basket and if the criteria is not matching
then trading in the same is not allowed.
Operations not allowed. User Privilege Check for Client for BSE Equity Transaction
Privileges Failed BUY
Reason : Buying right is block from admin terminal.
Solution: Check user privilege templates and do the changes as per the request.
Operations not allowed. User Privilege Check for Dealer for BSE Equity Client
Privileges Failed PRO
Reason : Client puts order in PRO and it is blocked from admin.
Solution: Select Cli in the order window and put the order.
Order failed Net position check where the limit is 0; prev=0;uti=0 & current
value=2,60,000 across all securities of Future (NSE Expiry) of V1550
Reason : Client is in square off mode in F&O segment.
Solution: The client can only square off the position, hence communicate the same to the client.
Order failed Gross Exp chk where limit=25,00,000; prev uti =20,00,000 & current
value=30,00,000 across all securities of combine all (Daily) of Test1
Reason : Terminal limit is over.
Order failed MTM Loss check where the limit is 1776.90; prev. utilized was 2685.00
across all Securities of Combined ALL (Expiry) of V1550
Reason : MTM check has hit or loss increases to 60% of margin.
Solution: Increase the MTM percentage in consultation with RM.
Order failed Net Purchase chk where the limit is 0; prev=0; uti=0 & current value is
50,000 across all securities of combine EQ (Expiry) of V1550
Reason : Fresh cash buy is block due to short margin or client is in square off mode or if client has
sustain debit in his books.
Solution: Increase the limit in consultation with RM after referring clients ledger status.
Order failed Net position check where the limit is 800000.00, prev. utilized is
687617.85 and Current value is 803777.85 for NITINFIRE EQ of Equity (NSE-Daily) of
member
Reason : Net limits are exceeded in particular scrip.
Solution: Coordinate with the CSO surveillance team and get the limit increased.
Margin Limit exceeded. Set=100226.00, Used=121886.25(I)(Prev=71706.25)[Used
IM= 0155.00, PrevIM=50175.00, EM=28981.25, MTM=-2750.00,B.PL=0.00] across all
securities of Combined ALL (Expiry) of D459
Reason : Margin limit exceeded i.e, client has violated his set margin limit.
Solution: Check the clients ledger with co-ordination of RM team.
Order failed Max. Single Transaction Qty Check where the limit is 15000 and current
value is 20000 across all securities of Equity (NSE-Daily) of V1550
Reason : Client has violated the max quantity allowed for single order limit.
Solution: Increase the maximum order limit in consultation with the surveillance team.