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Deutsche Bank Global Equity Stock Loan

By Carolyn Peterson,2014-05-19 10:32
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Deutsche Bank Global Equity Stock Loan

    Sample Report Documentation

Conventions used in this Writing Sample

    Convention Description

    APP NAME Replaces the application name from the original document.

    [REDACTED] Indicates that proprietary information was removed for confidential reasons. XYZ or XXX Used to replace specific descriptions.

    Table of Contents

    1. APP NAME REPORTS ......................................................................................................... 2 1.1 SEC [REDACTED] INVENTORY REPORT ............................................................................ 2

    1.1.1 COLUMN DESCRIPTIONS ......................................................................................................... 3

    1.1.2 REPORT ILLUSTRATIONS ........................................................................................................ 4

    1.1.2.1 Columns from Grp thru TotalLoanXXX........................................................................ 4

    1.1.2.2 Columns from EstBankHTBRatio_XYZ thru GrpAvgeNonXYZ .................................. 4

    1.1.2.3 Columns from GrpAvgeSpecialReb thru GrpSpecialRebChngeXXX ............................ 4

    1.2 [REDACTED] REPORT NAME .................................................................................................... 4 APPENDIX A: NAVIGATIONAL TOOLS ................................................................................... 5 ACCESSING REPORTS ........................................................................................................................... 5 GENERAL USAGE .................................................................................................................................. 5 SORTING REPORT COLUMNS .............................................................................................................. 5 STANDARD RIGHT CLICK FUNCTIONS ............................................................................................... 5 GENERAL USE ........................................................................................................................................ 6 EDIT COLUMN CONFIGURATION ....................................................................................................... 6

    Add one or more columns individually ......................................................................................... 7

    Add all columns in alphabetical order from left to right ................................................................ 7

    Move a Column up or down ......................................................................................................... 7

    Remove a Column from View ...................................................................................................... 8

    Clear All Entries .......................................................................................................................... 8

    Customize Sort Order Results ...................................................................................................... 8

    COPY ...................................................................................................................................................... 8 EXPORT .............................................................................................................................................. 9 EXCEL ................................................................................................................................................ 9 FIND ....................................................................................................................................................... 9 USING THE CODE CHOOSER ................................................................................................................ 9 LOOKUP WHEN IDENTIFIER IS KNOWN ................................................................................................. 10

    PARTIAL DATA LOOKUP VIA BINOCULARS ICON ................................................................................. 10

    APPENDIX B: DOCUMENT VERSION CONTROL ............................................................... 12

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1. APP NAME Reports

    This section includes usage details for reports available through the APP NAME application interface.

    Note that this document will continue to be updated as more reports are documented.

    1.1 SEC [REDACTED] Inventory Report

    This report lists the amount of short selling possible to the amount of long inventory available to borrow

    for the 19 specified financial services companies, per SEC (Securities Exchange Commission)

    Emergency Order restricting Short Selling that was issued on July 15, 2008. These securities include:

    Long Name Ticker(s) BNP Paribas Securities Corp BNPQF, BNPQY Bank of America Corp BAC Citigroup, Inc. C Credit Suisse Group CS Daiwa Securities Group Inc DSECY Deutsche Bank Group AG DB Allianz SE AZ Goldman Sachs Group, Inc. GS Royal Bank ADS RBS HSBC Holdings PLC ADS HBC, HIS J.P. Morgan Chase & Co., Inc. JPM Lehman Brothers Holding Inc. LEH Merrill Lynch & Co., Inc. MER Mizuho Financial Group, Inc. MFG Morgan Stanley MS UBS AG UBS Freddie Mac FRE Selection criteria for this report:

    1. Select an Entity (default is [Redacted]]).

    2. Select a Security, using the code chooser. For more details, see page 9.

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    Column Header Usage on SEC [REDACTED] Time Data source See illustration Inventory Report Sensitive?

    N/A DTS “Entity Entity [Dedacted] internal business domain

    Code”

    N/A DTS “Ticker” Ticker Security Identifier Figure 1on

    page 4

    N/A Cusip Security Identifier Figure 1on

    page 4

    N/A Descr Security Description (LongName) DTS “Sec Figure 1on

    page 4 Desc

    Calculation: SOD SODExcessNeeds Excess Qty Figure 1on

    page 4 from Excess (+), Need (-) [Redacted] „XYZLoan‟ file (position as of XXX)

    Includes:

    [Redacted]

    Does not include:

    [Redacted].\

    UnsettledShortsT1 [Redacted] SOD Settlement Figure 1on

    Projection T1 page 4 All borrows with Open Date = today. Intraday New Borrows Security Figure 2 on

    page 4 Summary Exclude Intercompany

    [Redacted] Intraday New Loans Security Figure 2 on

    page 4 Summary &

    Excess

    Manager

    -Ref: [Redacted] Report. - INCLUDE ADPRecalls Figure 2 on

    page 4 ADP Recalls are used to cover XYZ.

    Intraday INCLUDE BorrowRecalls Deliver on borrows which have been Figure 2 on

    page 4 recalled. .

    - INCLUDE BorrowReturns XXX borrowed and now must return Figure 2 on

    page 4 that borrow to the lender.

    Intraday Call & Hold Qty Increase “inventory” by the amount Figure 3 on

    page 4 in Call & Hold to cancel out the

    Borrow Return not yet returned.

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    Column Header Usage on SEC [REDACTED] Time Data source See illustration

    Inventory Report Sensitive?

    Intraday ExclusiveAvail Only include exclusive availability Availability Figure 3 on

    page 4 and no other counterparty Supply

    availability feeds. Screen.

    Class = XXX

    Cparty Country = XYZ

    Intraday FilledQty XXX (“[REDACTED]s”) Allocated to Availability Figure 3 on

    page 4 counterparties Demand

    Screen Because the [Redacted] Report has many columns which scroll horizontally across the screen, the

    following report sample is broken out into three separate screen captures which display the columns in

    the same order as described 上方 in the Column Descriptions.

    1.1.2.1 Columns from Grp thru TotalLoanXXX

    [[Report sample removed]]

    Figure 1: [Redacted] Report (Columns from Grp thru TotalLoanBal)

    1.1.2.2 Columns from EstBankHTBRatio_XYZ thru GrpAvgeNonXYZ

    [[Report sample removed]]

    Figure 2: [Redacted] Report (Columns from EstBankHTBRatio_75 thru GrpAvgeNonGCReb)

    1.1.2.3 Columns from GrpAvgeSpecialReb thru GrpSpecialRebChngeXXX

    [[Report sample removed]]

    Figure 3: [Redacted] Report (Columns from GrpAvgeSpecialReb thru GrpSpecialRebChngeD)

    1.2 [Redacted] Report name

    [The same documentation format was used for additional reports.]

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Appendix A: Navigational Tools

    The following navigational tools are available to access and use APP NAME reports and screens.

    Accessing Reports

    To access most reports, follow the below path and select the report from the alphabetic list.

    Applications > Reports > All Reports

    The [Redacted] Governance Report is the only exception. To access this report, follow the below path:

    Applications > Reports > [Redacted] Governance Report

    General Usage

    1. Enter the criteria at the bottom of the screen. Since criteria can be different for each report, refer to

    Selection Criteria for this Report which is included as part of the individual report description. 2. Click (blue arrow) to populate the report with data.

    Continue to use this button periodically to refresh the display with the latest data from the database.

    3. The following options are available for most reports:

    ? Print Click the printer icon.

    ? Sort columns see 下方.

    ? Standard Right click functions see 下方. Sorting Report Columns

    You can alter the view of a query’s results with a quick mouse-click. 1. Click on the header of a particular column from any APP NAME result table.

    2. The system sorts the rows of data in that column.

    Toggle shifts from ascending (?) to descending (?) order.

    RELATED TOPICS:

    ?See page 8 for alternative methods to sort data.

    Standard Right Click Functions

    The following functions are available on most APP NAME screens/reports by right-clicking the mouse in a

    results table.

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     Figure 4: Standard Right-click features

    NOTE: When a screen contains additional right-click functions that are unique to the screen, they are

    shown directly below these on the right-click menu.

    1. Left-click on one or more rows in the table until the entire row is highlighted.

    ? Hold down the Shift key to select contiguous rows; select the last row.

    ? Hold down the Ctrl key to select non-adjoining rows.

    2. Use the right-click feature of your mouse to display a list of these functions.

    ?For more information about these functions, see the appropriate section shown below:

    ? Edit Column Configuration… See 下方

    ? Copy See page 8

    ? Export… See page 9

    ? Excel… See page 9

    ? Find See page 9 Save yourself time by configuring the columns you want to display and the order in which they are

    displayed. Eliminate the need to scroll horizontally back and forth over columns of data too wide for your

    display. Remove needless details.

    Notes:

    Each table must be configured separately.

    These configurations will remain in your user profile with each login until you change them here.

    1. Perform the steps shown 上方 in General Use. 2. Select Edit Column Configuration.

    The Column Configurator dialog box is displayed:

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     Figure 5: Column Configurator dialog box

    The Column Configurator is comprised of three sections:

    All Columns list All screen or report columns in alphabetical order on the screen.

    User Columns list Customized view of columns as a user has ordered them from left to right across the screen.

    Sort Columns list Up to three columns can be used as primary, secondary and tertiary sort criteria. The following options are available to configure the columns.

    Add one or more columns individually

    You might want to do this if a column has been added to the screen or report as a result of an APP NAME

    release. New columns are not automatically added to your configuration; you must add them manually.

    1. In All Columns list:

    ? Click column heading to be added.

    ? Click Add>> button

    The selected column is now available in the User Columns list.

    2. Repeat the above steps for other columns to be added.

    Add all columns in alphabetical order from left to right

    You might want to add all columns if you don’t like the order of columns currently on your screen or report and want to put them in alphabetic order so they are easier to find.

    1. Click Add All >>.

    2. All the columns from the All Columns list will supersede any columns in the User Columns list. Move a Column up or down

    You might want to reposition your columns so they are closer together. For example, your Daily P/L and Match P/L might be five columns from each other so you can’t see the related values easily. By moving

    them next to each other, you can see the values easily.

    1. Select the column from the User Columns list.

    2. Click the Move Up or Move Down button until the column is in the new position.

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Remove a Column from View

    You might want to do this if you don’t need to see information from that column. 1. Select the column from the User Columns list.

    2. Click the Remove button.

    Note: To put the column back later, re-select it from the All Columns list. Clear All Entries

    Do this to filter your view so you only see the individual columns which you now Add>>. Restore the default column views which will be available after you click Add All>>. To use this to see all columns, including new ones, do the following:

    ? Click Clear All.

    ? Click Add All>>

    To use this to see only a few columns, do the following:

    ? Click Clear All

    ? Click Add> for each column.

    Customize Sort Order Results

    Up to three columns can be selected for the sort order. For example, you might wish to see rows of data

    sorted first by Entity, second by Counterparty and finally by B/L (Borrow/Loans).

    The first column header in the Sort Columns list will be the primary sort criteria. The second and third

    column headers will be the subsequent sort criteria.

    From the User Columns list:

    1. Click Add>> button to copy columns into the Sort Columns list.

    2. Change sort order via the Move Up or Move Down buttons.

    RELATED TOPICS:

    ? See page 5 for alternative methods to sort data.

    Use this option to highlight one or more records in the data result table and copy the data intact into the

    window buffer for pasting into another application, such as Excel or MS Word.

    1. Perform the steps shown in General Use on page 5.

    2. Select Copy.

    3. Select rows to be copied by either of the following methods:

    ? To select more than one contiguous row, click on a row and hold Shift key down. Select last row.

    ? To select rows which are not necessarily grouped together, select all grouped rows via the Shift

    key. Then, while the rows are still selected, click on single rows with the Ctrl key. Document Version 1.0 ISSUED 07/29/08 8

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Use this option to save the entire result set list in the following ways to a file in a selected directory.

    1. Perform the steps shown in General Use on page 5.

    2. Select Export…

    3. When the dialog box is displayed, save the file to a selected directory in one of these formats:

    ? tab delimited (.txt) Leading zeros are preserved. The file can be opened in Windows

    Notepad and pasted into a text processor such as MS Word. Since

    fields are delimited by tabs, the file can also be opened in Excel.

    ? Excel spreadsheet (.xls) Leading zeros are preserved. The file is an Excel spreadsheet.

    ? File in CSV format (.csv) Leading zeros are eliminated for numeric fields. Save as a ‘comma-

    separated’ file and open in Excel.

    Use this option to copy the entire result set to Excel.

    1. Select a single row and right click. Select the Excel… option.

    2. Excel will automatically open and the entire result set is copied into a spreadsheet.

    Use this option to do a crude search through the table data. Regardless of where you begin the search, it

    will automatically look through the entire table.

    1. Right-click anywhere in the results table and select the Find option. Regardless of where you begin

    the search, it will automatically search the entire table.

    2. Click the Find Next button to view the next instance.

    Using the Code Chooser

    For convenience using APP NAME, the Code Choose allows you to enter any code type and do a full or

    partial data lookup. This is illustrated in the following example where a security lookup is done.

    Partial Data Lookup Search by single or group of securities

Figure 6: Example of APP NAME Code Chooser

Field Name Description

    Code Type The identifier name in the Code Type field corresponds to the type of identifier being

    used.

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    Sample Report Documentation

Field Name Description

    For most code types, you can immediately use the Binoculars Icon, Code field and Go

    action button to initiate a query of the database for that code type. Binoculars Icon Click on this button if the unique identifier is not known. This is further explained in Partial data lookup via Binoculars icon below.

    Code Use this field if the identifier is known. Enter one or more unique identifiers, each

    separated by a comma.

    Using the above example, if Code type of Ticker is selected from Code type dropdown

    menu, you can enter one or more valid ticker symbols, such as IBM, AMZN, etc. Go Click on this button to initiate a query of the APP NAME database. If you know the complete identifier, the following are the general steps for doing a lookup:

    1. Enter one or more Codes, each followed by a comma.

    Code type will automatically change to match code entered.

    2. Click GO or press the ENTER key to initiate the lookup.

    The lookup is automatically performed, and data results are displayed in the result table.

    If you have entered an invalid identifier, you will receive an error message.

    1. Click on Binoculars icon, as illustrated 上方 in Figure 6.

    The Lookup Dialog is displayed:

    Choose one of the indicators,Starts With or Contains

     Figure 7: Lookup Dialog box (accessed via Binoculars icon)

    2. Key in partially known data.

    TIP: When doing security lookups, searches are done on security full legal name, not ticker symbol.

    3. Choose one of the indicators Starts with or Contains, using the appropriate search criteria.

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