Fin Fundamentals

Front 1

DS

Back 1

Display Summary = Transaction History

Front 2

DRR

Back 2

Display Real-time Review = Real Time Cash Balance, Assets, Orders and Cashsets

Front 3

US

Back 3

Security Master

Front 4

DA

Back 4

Display Account = Account Information Screen

Front 5

DA-1

Back 5

Acct Main Screen = View name and address of client, date account was opened and/or terminated, currency the account is trading in, date the account was last changed, whether account is locked (cleared for trading) and more.

Front 6

DA-4

Back 6

Custodian Info = Shows which custodian holds the account, the custodian account number, and the previous acccount number if the account has been reregistered.

Front 7

DA-8

Back 7

Additional Account Info = View initial performance date of account, the date the account was last reconciled and if account is no order coded.

Front 8

DA-11

Back 8

Management Fee Screen = Screen in Management Fee screen shows if account is paying for management fees of other accounts.

Front 9

DT

Back 9

Display Transactions = Audit

Front 10

DM

Back 10

Display Master Summary

Front 11

DM1

Back 11

Current Date

Front 12

DM2

Back 12

Specific Date

Front 13

UMF

Back 13

Management Fees Main Menu

Front 14

DP

Back 14

Display Performance

Front 15

1. DRR - __
a. Main uses:
i. __ (shares) as of a particular date
ii. ___ of equities/holdings in an account as of a particular date
iii. __ Data

Back 15

Display Real-time Review
i. Holdings
ii. Base market value
iii. Benchmark

Front 16

2. DRR – ___
a. Main Screen
i. Allows specific __ review
ii. Of primary concern is __, __, and __ (either T [Trade] or S [Settle])

Back 16

2. Display Real-time Review
i. date/account
ii. date, account number, review type

Front 17

1. DRR – __
a. Summary Screen
i. Main Summary
1. Shows __ – base market value
a. __
b. __
c. Total Portfolio
2. Shows __ as a percentage of the __ portfolio
ii. Summary Subscreen (F4 to view)
1. Shows __ in account
2. Short term/long term __ gain/loss
3. __ date

Back 17

1. Display Real-time Review
1. asset allocation
a. Equities
b. Cash and Cash Equivalents
2. asset categories, total
ii.
1. additions/withdrawals
2. unrealized
3. Reconciled

Front 18

2. DRR – __
a. Holdings Screen
i. Holdings Main Screen
1.
2.
3.
4.
5.
6.

Back 18

2. Display Real-time Review
a.
i.
1. Shows share amount
2. Security name
3. Current price (and cost)
4. Market value
5. % gain/loss
6. The asset as a weight of the portfolio

Front 19

2. DRR – __
i. Holdings Subscreens (F4 to view)
1. __
2. __ (to review transaction details in the DS)
3. __ gain/loss amounts
4. __ (for additional dividend information, see US screen)
5. Current __ rates, cost __ rates (also see __ screen for additional FX values)
Holdings Screen

Back 19

2. Display Real-time Review
a.
i.
1. Ticker symbols
2. Reference numbers
3. Unrealized
4. Local dividend rates
5. FX, FX, FCE

Front 20

2. DRR – __
a. __ Data
i. [BM] to view
1. Provides __ data for an account

Back 20

2. Display Real-time Review
a. Benchmark
i.
1. benchmark

Front 21

2. DS – __
a. Main uses:
i. __ over specified period of time
ii. Exact __ at a period of time
b. Main screen:
i. Allows specific __ review
ii. Of primary concern is __, __ and __ type (either T [Trade] or S [Settle])

Back 21

2. Display Summary
a.
i. Activity history
ii. cash balance
b.
i. account/date
ii. date, account number, review

Front 22

2. DS – __
c. Summary Screen
i. Shows all __ the account had activity in over the period of time specified in the main screen.
1. Shows snapshot of __ balances at the beginning of the period (__ BAL) and at the end of the period (__ BAL). All amounts are in local currency. To select a particular currency’s activity, key in its appropriate __.

Back 22

2. Display Summary
c.
i. currencies
ii. cash, OPENING, CLOSING, number

Front 23

2. DS
d. Currency Screen
i. Shows all activity occurring in a __ over specified range
1.
2.
3.
4.
5.
6.

Back 23

2.
d.
i. currency
1. Security description
2. Transaction code (e.g., B, S, ETT)
3. Date of transaction
4. Share quantity (where applicable)
5. Amount of transaction
6. Running currency balance

Front 24

2. DS
d. Currency Screen
i. For every trade that is not in __ currency (i.e. USD in most cases), there should be a corresponding __ for the same amount, either exchanging USD to local currency for purchases , or __ (converting foreign cash to USD) local currencies.

Back 24

2.
d.
i. base, FX, repatriating,

Front 25

2. DS
d. Currency Screen
i. To view a transaction’s detail, press __.
1. Provides information on transactions, including
a.
b.
c.
2. The trade detail for a company is shown. To determine its base amount, we must open the corresponding __, in this instance, an __ for the same amount of the trade (i.e., an amount of the foreign currency). We see by selecting the appropriate ETT, the base amount resulting from the currency transfer is a number of dollars.
3. As the trade affects USD balance (shares were sold in EUR, and an __ occurred to USD) we can see the amount of the trade appear in our __ balance (see image)

Back 25

2.
d.
i. F2
1.
a. Trade/settle date
b. FX Rate
c. Local Net Amount
2. FX, ETT,
3. FX, cash

Front 26

3. DP – __
a. Main uses:
i. Shows __ for an account for a specified period
ii. Allows __ return calculations
iii. Displays __ of fees performance numbers
iv. Provides benchmark returns for comparison
b. Main Screen
i. Allows specific __ review

Back 26

3. Display Performance
a.
i. performance
ii. cumulative/annualized
iii. gross/net
b.
i. account

Front 27

3. DP – Display Performance
a. Account Review
i. Defaults to __ returns, net of fees, since __:
1. The __ performance is included next to account performance:
a. To review a specific period, press __
b. To toggle between net of fees and gross of fees, press __
c. To toggle between cumulative/non-cumulative returns, press __
d. To annualize returns (chosen period must be greater than 1 year), __
e. To change benchmarks, press __
f. When selecting a time period to calculate performance, we use the previous month __ through the __ of the desired period.

Back 27

3.
a.
i. cumulative, inception
1. benchmark
a. F6
b. F7
c. N
d. F9
e. F4
f. end, end

Front 28

3. DP – Display Performance
b. Account Review
i. Defaults to cumulative returns, net of fees, since inception:
1. The benchmark performance is included next to account performance:
g. In general:
i. We __ returns of periods greater than 1 year
ii. We provide __ of fees in performance numbers
iii. We provide __ data
iv. We provide __ month performance, __ performance, __ performance, __ performance, and performance since __ if not otherwise specified by client request.

Back 28

i. annualize
ii. net/gross
iii. benchmark
iv. previous, quarter-to-date, year-to-date, trailing-1-year, inception

Front 29

4. US –
a. Main Purposes
i. Find information about __
1. Identifies

1.
2.
3.
4.
5.
6.

2. __ information
3. Country of incorporation (__)
4. __ information

Back 29

4. Update Security
a.
i. securities
1.
1. CUSIPS
2. SEDOLS
3. ISINS
4. GICS codes
5. Quote symbol
6. Ticker symbol

2. Pricing
3. FIC
4. Dividend

Front 30

4. US
b. Main Screen
i. Provides broad scope of information regarding a security
1.
2.
3.
4.
5.
6.

ii. To see historical pricing…
1. Type __
2. Navigate through history by pressing __ key

Back 30

1. Symbol
2. Market
3. Security type
4. CUSIP
5. Security description
6. Country of incorporation
ii. P
2. ENTER

Front 31

4. US – Update Security
a. Subscreen 1
i. For Client Reporting purposes, provides additional identification of securities:
1.
2.
b. Subscreen 2
i. Provides dividend information
1. __ Date
2. __ Date
3. __ Date
4. __ Date

Back 31

4.
a.
i.
1. ISIN
2. SEDOL
b.
i.
1. Record
2. Ex
3. Pay
4. Dividend

Front 32

5. DT – __
a. Main Uses:
i. Show only necessary data over a specified period
1. Allows for specific data:
1. Specific __(e.g., buys/sells/dividend income)
2. Specific __ (e.g. MSFT)
3. Specific __ (e.g. who posted a particular transaction
4. __ (shows all transactions, including those that have been canceled)
ii. Displays only __ data one is looking for – in some applications, more useful than __ by finding only those transactions necessary instead of picking through all non-relevant __ postings for a specified period of time.

Back 32

5. Display Transactions
a.
i.
1.
1. transactions
2. securities
3. User ID
4. Audit Trail
ii. necessary, DS, DS

Front 33

5. DT
b. Main Screen
i. User keys in desired inputs
1. Proves more useful when as much __ as possible can be captured in this screen so as to reduce the amount of superfluous output. (see image with arrows)
c. Results Screen
i. Shows basic __ data
1. __ (the link to the original posting)
2. __ name and __ #
3. Transaction __
4. __
5. __ Date
6. __ column (if __ or , the posting has been canceled. If blank, the posting exists)

Back 33

5.
b.
i.
1. data
c.
i. transaction
1. REF #
2. Account, FIN
3. Description
4. Symbol
5. Trade
6. CXL, FIN, ADV

Front 34

5. DT
d. Results subscreens (press __ to view)
i. __
ii. __ Amount
iii. __ (person who posted. To view __ names, see __’s table in I:/client reporting/client reporting.mdb)

Back 34

5.
d. F4
i. Currency
ii. Net
iii. User ID
iv. FIN ID, FIN ID

Front 35

7. DA – __
a. Main Uses:
i. Gather information about an account
1. __ information
2. __ number
3. __ date

Back 35

7. Display Account
a.
i.
1. custodian
2. custodian
3. reconciliation

Front 36

7. DA
a. Main Uses:
ii. Main Screen
1. Displays broad range of information. To see menu, press _
iii. Custodian Information Screen (selection __)
1. Provides __ information for account at custodian
2. Provides custodian __

Back 36

ii.
1. M
iii. 04
1. contact
2. number

Front 37

7. DA
a. Main Uses
iv. Additional Account Info Screen (selection __)
1. Provides information used for __ generation
a. __ date
i. We do not generate reports until an account is reconciled unless the report is __
b. __ Performance Date
i. Provides date from which __ from inception is calculated

Back 37

7.
a.
iv. 08
1. report
a. Reconcilement
i. preliminary
b. Initial
i. performance

Front 38

8. Tips and tricks
a. Account Numbers
i. When operating in a main screen, to find an account number based on a client __ name:
1. In ACCT section (varies by screen), press __. This will work in most screens where an account number can be input.
2. This will bring up an account search. Enter as much of the name as you know in all __:
3. To select a particular name, navigate with the __.
a. When the appropriate account is highlighted, press __ to select. This will auto-populate the acct number in the original screen.

Back 38

8.
a.
i. short
1. F1
2. caps
3. down arrow
a. F2

Front 39

8. Tips and tricks
a. Account Numbers
ii. To find a FIN number based on the custodian account number,
1. In the main screen, press __
a. This will bring you to the search by __
b. Press __
i. This will take you to the search by __ NUMBER
ii. Enter as much of the __ number as you know
iii. Navigate by using the __ arrow
iv. __ to select

Back 39

8.
a.
ii.
1. F1
2. CLIENT SHORT NAME
b. F6
i. CUSTODIAN
ii. custodian
iii. down
iv. F2

Front 40

8. Tips and Tricks
b. Symbols/CUSIPS
i. When operating in a main screen, it is often necessary to input a security __. This can be done using the __ command much like that used in the account number search.
1. When entering a security identifier such as a CUSIP, press __.
2. This will bring you to the US __ search screen.
a. Input as much of the name as possible.
b. Press the __ arrow to navigate through list of securities.
c. Press __ to select security.
d. This will __ the security in the main menu.

Back 40

8.
b.
i. identifier, F1
1. F1
2. security
a.
b. down
c. F2
d. auto-populate

Front 41

c. __ data from FIN
i. To select data from FIN to input in another FIN screen:
1. Highlight data to copy
2. __ click after highlight is complete
a. This will save highlighted information
3. In desired screen
a. Right click again to paste data

Back 41

c. Copying
i.
1.
2. Right
a.
3.
a. Right

Front 42

d. Copying Data from FIN to Excel
i. Often it is more efficient to copy data from FIN to perform calculations within __
1. Highlight desired data in FIN
2. __ click after selection is made
a. This will copy temporarily copy data from FIN
3. Open Excel
4. Paste data (ctrl + v)
5. Pasted as text info, not useful for calculations. To make usable format:
a. Select __
i. Text to __
ii. Select Finish
b. This will change text to __ to be used in calculations

Back 42

d.
i. Excel
1.
2. Right
a.
3.
4.
5.
a. Tables
i. Columns
ii.
b. number