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Automated information subsystem
”Automation of Securities Market Regulating Activities”
Certificate of State Registration
of the Intellectual Property Object No 292 dated 24.12.2002 y.
Purpose:
The subsystem has been designed to be used in the National Bank of the Republic of Kazakhstan
The subsystem provides representation of capitalization data flow (values of financial stability criterion) of organizations that carry out broker-dealer activity in the security market. It also provides on-line collection, keeping, monitoring, processing and analyzing of information about securities transactions that is received from brokers-dealers, registrars and securities traders. All information is received and processed by the Department of the Securities Market Regulation.
The features of this system are as follows:
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The subsystem accessibility for external relations and possibility to extend these relations;
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Centralized data storage;
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Maximum reduction of paper flow of documents;
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Ensuring information protection, control and security;
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decrease of labor costs due to elimination of manual labor when downloading and monitoring input information.
Configuration:
The subsystem consists of separate modules such as: “Administrator”, “User” “Reporting of a Professional Participant” and “Message Reception and Processing”.
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. Quick context search in accordance with the specified parameters is supported in the screen form tables and lists. 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. “FASTI” cryptosystem is used to send the accounting information.
«Administrator» module enables the user:
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to add new users into the system by assigning logins and passwords;
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to assign the user access rights to the items of the database and functions of the system;
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to block user access to the Automated Information System’s data and functions;
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to specify inactivity period to disconnect the user from the database;
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to fix the AIS functioning parameters related to system service functions (e.g. the period for changing the passwords by users, installation-cancellation of the opportunity to approve data under certain modes, permission for user to add information to data reference directories, etc.).
“User” Module enables the user:
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to log in to the system;
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to review the received information kept in the database;
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to search for necessary information;
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to update the reference information in the database of subsystem from MS Access files, which are exported from database of the public register of securities and database of register of licenses and permissions to carry out activity in the securities market;
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to receive and print out the reports;
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to save the reports in MS Excel files;
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to change personal password according to the specified period of password validity;
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to receive the warning messages about deadlines to eliminate the critical remarks.
«Reporting of Professional Participant» module enables the user:
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to generate, keep and send accounting information;
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to output the generated statements in Microsoft Excel files;
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to receive and update the reference information automatically.
«Message Reception and Processing» module enables the user:
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to log in to the system;
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to receive automatically the telegrams with reports from the professional participants of securities market;
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to check automatically messages with a view of information correctness and completeness;
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to download automatically the input reporting data to the subsystem database;
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to send response messages concerning status of reception and processing of the reporting information received;
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to generate the reference information required to operate the «Reporting of a Professional Participant» module;
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to change personal password according to the specified period of password validity.
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/2000/2003 |
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Database |
Oracle 8.1.7 |
Workstation 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/2000/2003 |
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Client |
Oracle 8.1.7 |
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Microsoft Office 2000 |
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Auxiliary software:
To operate the subsystem it is necessary to use Oracle 8.1.7 Enterprise Edition software or higher, Microsoft Excel 2000. FASTI should be used to ensure security of the reporting information sent.
Information security
Is provided by the DBMS Oracle and “Administrator” module. The following functions are realized in the subsystem: authorization of users by assigning them the logins and passwords, module authentication and 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 “Administrator”, “User”, «Reporting of the Professional Participant” and «Message Reception and Processing» modules and a manual in the Russian language.
Installation terms:
Installation and training of users will take at least a month.
Technical Support:
Warranty technical support (during six 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:
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Correction of program errors identified during the process of software exploitation;
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Consulting services for the customers concerning application of the software;
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Delivery of the updated software;
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Consulting services in the event of substandard situations.
Customization:
Customization is possible (subject to the Auxiliary discussion).
Currently the system is operating in:
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Agency of the Republic of Kazakhstan on Regulations and Supervision of Financial Market and Financial Organizations;
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Organizations that carry out professional activity in the securities market. |
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