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Automated information subsystem
“Custodian Bank”
Certificate of State Registration
of the Intellectual Property Object ¹ 220 of 07.10.2002
Purpose:
The subsystem has been developed to be used in the National Bank of the Republic of Kazakhstan and accumulation pension funds.
The subsystem provides the complex automation of the following processes:
§ accounting of custodian services for the State Accumulation Pension Fund (SAPF);
§ separate keeping and accounting of the SAPF;
§ credit of the mandatory pension contributions, payouts and transfers of the pension accumulations of the SAPF contributors;
§ receipt, registration, processing, generation and sending electronic messages of the Kazakhstani Central Banking Service and maintenance of the electronic messages archive;
§ accounting of the SAPF securities and deposits in custody;
§ improvement of quality of the clients’ asset accounting and increase of the operational efficiency of the employees of the NBRK custodian operations departments by decreasing the number of operations implemented manually and using electronic technology for data processing and storage;
§ ensuring the necessary level of organizational and information security for the NBRK departments that carry out custodian services;
§ computation of commissions, compensated expenses, fines, penalty charges, forfeits and other sums associated with the clients’ asset management carried out by the National Bank;
§ submission of reports about the status of the SAPF pension assets to the authorized body for regulation and supervision of the securities market;
§ generation of the regular reporting in accordance with the form 15-PB the NBRK Department of Balance of Payments and Currency Control as well as the reporting forms for reconciliation with the SAPF in accordance with the terms and conditions of the Standard Custodian Agreement in electronic and hard copy forms.
Configuration:
The subsystem has been developed on the modular base with the modules “Custodian Services”, “Transaction Day Management”, “Subsystem Administrator” and “SWIFT-terminal” being basic and mandatory.
Ergonomics and aesthetics:
The software ergonomic solutions ensure convenience and efficiency for the users. Regulatory and reference data are formed in all cases where it is possible to unify data and replace manual entry with selection of value from the list offered by the subsystem applications. Flexible filters and sorting and groupings make the work with the subsystem much easier.
Architecture:
It is a client-server architecture that enables working in the local network using the TCP/IP protocol..
“Custodian services” module enables the user:
§ to keep records of the custodian transactions;
§ to maintain off-balance accounting of securities transactions;
§ to maintain off-balance accounting of investments in deposits of the second-tier banks;
§ to keep records of securities transactions ID;
§ to keep records of deposits ID;
§ to keep payment documents;
§ to control, verify and approve the entered documents;
§ to control, verify and approve documents generated by the SAPF;
§ to generate reports.
“Transaction Day Management” module enables the user:
§ to control the status of the transaction day;
§ to administer archiving process;
§ to archive information from the DBMS;
§ to delimit the access to the archive data;
§ to transfer information from the operating database to the archive one in accordance with the schedule;
§ to generate reports about the archive status.
”Subsystem Administrator” module enables the user:
§ to keep the system user directory with setting of logins and passwords;
§ to assign the users the access rights to the data and functions of the subsystem and provide opportunity to change user password and control periodicity of password change;
§ to block user access to the data and functions of the subsystem;
§ to review users connected to the database of the user subsystem;
§ to disconnect users from the user database subsystem, if necessary;
§ to create groups of users and assign them with the rights and identify whether they belong to other groups;
§ to identify user belonging to the groups of users;
§ to selectively withdraw privileges of users that were given them by groups;
§ to record computer directory registered to the subsystem;
to change user personal password.
“SWIFT-terminal” module is intended:
§ to receive, register, process, generate and send electronic messages of Kazakhstani Central Banking Service and keep the electronic message archive.
Hardware requirements:
Server parameters:
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Processor |
Pentium III 1000 MHz |
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RAM |
512
Mb |
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Free disk space |
10 Gb |
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Operating system |
Microsoft Windows
NT/2000/XP |
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Database |
Oracle 8i |
Workstation parameters:
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Processor |
Pentium III 500 MHz |
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RAM |
128
Mb |
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Free disk space |
500
Mb |
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Operating system |
Microsoft Windows
NT/2000/XP |
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Client |
Oracle 8i |
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Microsoft Office, 2000 |
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Auxiliary software:
To operate the system it is necessary to use Oracle 8i Standard Edition software or higher and Microsoft Excel 2000.
Information security
is provided by the DBMS Oracle and “Custodian services” module. The following functions are realized in the subsystem: authorization of users by assigning logins and passwords; module authentication; restriction of the user access rights to the data and functions of the subsystem.
Standard package:
It includes a compact disk containing software for the “Custodian services”, “Transaction Day Management”, “Subsystem Administrator” and “SWIFT-terminal” modules and a manual in the Russian language.
Installation terms:
The basic package installation and training of users will take not less than a month.
Technical support:
Warranty technical support (during three months after commissioning) and after-warranty support (at the customer’s wish based on the contractual agreement). The following services are provided within the framework of technical support:
§ Correction of program errors identified during the process of software exploitation;
§ Consulting services for the customers concerning application of the software;
§ Delivery of the updated software;
§ Consulting services in the event of substandard situations.
Customization:
Customization is possible (subject to the Auxiliary discussion).
Currently the system is used in:
§ The State enterprise “The National Bank of the Republic of Kazakhstan”.
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