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The pain that the organizations are experiencing around the globe are consistent reporting, regulatory compliance, strong interest in Service-Oriented Architecture (SOA), and Software as a Service (SaaS) has prompted a great deal of interest in Master Data Management (MDM).

Client Information Management System (CIMS)

is our attempt to provide a platform for Master Data Management.

Client Information Management System

(CIMS) has been developed to allow Brokerage houses/ banks to open a client account as per different Indian regulations (for e.g. RBI, SEBI, NSE, BSE, NSDL, CDSL etc..) & maintain common repository of all master data related to the clients. The system has been designed to ensure the accuracy of data entered, to handle KYC norms, and to avoid creation of duplicate client accounts etc.
Features
  • Equities/Commodities -

    Trading

    &

    Demat

    , Insurance, Mutual Fund account opening are decentralized to branches with maker - checker concept.
  • Web based interface for hassle free usage, deployment across different locations. Also enable to use from internet to open accounts.
  • System generates a unique number/User Id/Password common for all products offered by the company. This ID never changes, based on this ID, client will be able to see all his trades / positions / holdings/ margin etc through web enabled services.
  • System generates Trading code (UCC) as per the exchange rules for trading clients.
  • Customers are mapped according to their geographical hierarchy (presence of the company) at the time of introduction as mentioned below:
    • Broad geography - Country, Region, State, Sub-region,
    • Servicing branches - Branch, Sub-branch,
    • Servicing intermediary (if any) - Sub-broker/ Franchisee/ Referral
    • Servicing employees - Introducer RM / Servicing RM / Dealer / Head Dealer / Sales person
  • Customers are mapped to Trading platforms – Online / Offline / SMS
  • Customers are mapped to PCG / Gold / Platinum as defined by the company (Customer Type)
  • Customers are mapped as Individual / NRI / FII / Bank / MF etc.. (Customer Category)
  • CIMS allows to maintain different masters as mentioned below:
    • Document Group Master
    • Document Name Master
    • Document Parameter Master
    • Branch Master
    • Employee Master
    • Sub Broker Master
    • Bank Master
    • DP Scheme Master
    • Trading Scheme Master
    • Brokerage Rate Structure Master
  • Physical forms, along with proof movement and tracking them is also available in the system.
  • Definition of required mandatory / non-mandatory documents as per different regulation at run time for every product.
  • Common Welcome Letter & Pin Printing is available.
  • Reports provided to control the Total Turn Around time for account opening.
  • Account opening process flow has been provided to track the account opening form at different stages along with control to Hold, Reject or Authorize the form.
  • Following interfaces are provided to push data into different systems:
    • NSDL DPM System
    • CDSL CDAS System
    • NSE/BSE exchanges (UCC File)
    • Export to common staging area for other system to pick the data & update in their system.
    • The export includes client details & all master details. (For e.g. Broking Back Office,
      Mutual Fund Back Office, Internet Trading Engine etc..)
  • Checker at a HO / Regional hub has right to Hold / Reject back the documents to the respective branches
  • Interface can be given using intranet to call center & branches for viewing the current status of Client Account Opening Form.
  • Different MIS is generated, User wise, Branch wise, Product wise, Intermediary wise for further analysis.
  • Auto emails can be generated to RM’s, dealers etc when a new customer is being introduced.
www.winsoftech.com
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