Analysis Doc: PROCESS SPECIFICATIONS - DCH Turnkey Brokerage Project

Analysis Documents

by James T. Hawes, AA9DT

Process Specs for DCH Turnkey Brokerage Package

	1.1.1/1.2.2/1.3.2/1.4.2--Update-DCH-Info A. Update transaction amount: Move buy / sell order $ into TRANS-AMT B. Update DCH commission C. Update DCH information on client accounts D. Update DCH information on DCH-ACCT E. Check for match: DCH-ACCT-BAL >= MINIMUM-DCH-BAL? YES or NO F. Did DCH post all transactions? Check return codes G. Did DCH report transaction to management & client? Check return codes H. Did DCH record transaction for monthly reports? Check return codes 1.1.2/1.2.3/1.3.3/1.4.3--Update-Acct-Info A. Note: No update possible on ACCTNUM. B. If change, move in new M-MAIDEN-NM. C. If change, move in new LNAME D. If change, move in new FNAME E. If change, move in new SSNUM F. If change, move in new SADDR G. If change, move in new CITY H. If change, move in new STATE I. If change, move in new ZIP J. If change, move in new PHONE K. If change, validate PIN (Must be unique); move in new PIN (4-digit) L. Rewrite ACCT-REC with new values 1.2.1/1.3.1--Receive-Money A. If customer-sent-paper-ck, deposit in DCH account B. If customer-E-transferred-funds, accept funds C. Increment DCH-Balance 1.4.1--Issue-Check A. If customer-wants-paper-ck, prepare and send check B. If customer-wants-E-check, transfer funds to customer-account C. Decrement Cust-Balance 1.4.2--Make-Order-Adjs (Including Validation) A. Call Process 2.1.2/2.2.1/3.1.2/3.2.1--Validate-Personal-Information B. Check for match: Trans-Amount and Buy-Sell-Order C. Check for match: DCH-Received-Commission and Calculated-Commission D. Did client receive proceeds or equity that he's entitled to? Check return code. E. Are client and DCH accounts > allowed-minimum-balance? YES: Next; NO: Error F. Has DCH posted transaction? Check return code. G. Has DCH reported transaction to DCH management & client? Check return code. H. Did DCH record trans for management and client monthly reports? I. If OK, return zero. Else return error code. 2.1.1/3.1.1--Take-Personal-Info A. Move in LNAME and FNAME B. Create ACCTNUM C. Move in SSN D. Move in SADDR E. Move in CITY F. Move in STATE G. Move in ZIP H. Move in PHONE I. Move in MOMNAME J. Create and validate PIN (four unique digits) 2.1.2/2.2.1/3.1.2/3.2.1--Validate-Personal-Info A. LNAME & FNAME NOT= space & alphabetic? B. ACCTNUM numeric & NOT= ACCTNUM file member? C. SSNUM numeric? D. SADDR NOT= space? E. CITY Not= space, alphabetic & = zip code? F. STATE NOT= space, alphabetic & = state code member? G. ZIP numeric? H. PHONE numeric? I. MOMNAME NOT= space & alphabetic? J. PIN (4 digits) NOT= space, numeric & NOT= PIN table members? K. All $-FIELDS numeric? L. If any of these items tests TRUE, return error; add to report 2.1.3--Produce-Buy-Sell-Order A. Determine if buy or sell B. Call 2.1.2/2.2.1/3.1.2/3.2.1-Validate Personal Information C. Validate PIN D. Move in NAME E. Move in ACCTNUM F. Move in $-AMT of trans G. Move in INVEST-TYPE (CD, T-BOND, MUT-FUND, MUNI-BD, CORP-BD, STOCK) H. Return TRANS-REC 2.2.2/3.2.2--Update-Price A. Move in MARKET-VAL of investment from incoming stock stream on wire service B. Return market value 2.3.1.2/3.3.1.2--Calculate-Commission A. See my handout 2.3.1.3/3.3.1.3--Calculate-Stock-Price A. Move in ISSUE-PRICE from incoming stock stream on wire service 2.3.2.1--Determine-Type-of-Loan A. Determine client's credit limit: B. Match credit limit with LOAN-TYPE-TAB member c. Move in selected LOAN-TYPE-TAB member 2.3.2.2--Validate-Monies A. IS-CUSTOMER-CREDITWORTHY: B. Is CUST-ACCT-BAL >= 20% of transaction amount? C. If NO: Perform ???--Invalidate-Purchase: Send error to client term D. If YES: Move 80% of Trans-Amount to Client-Account 2.3.3--Withdraw-Client-$ A. Check TRANS-REC for TRANS-AMT B. Is-this-a-valid-transaction? YES or NO C. Call Process 2.1.2/2.2.1/3.1.2/3.2.1--Validate Personal Information D. Does-trans-involve-a-commission? E. If YES: F. Call Process 2.3.1.2/3.2.1.2--Calculate Commission G. Charge client 2.5% above prime for 3-year-term H. Prorate total and bill client I. Charge client 2.5% above prime for 3-year-term. J. Prorate total and bill client K. Withdraw initial amount from client account L. Reduce client account balance by withdrawal amount M. Credit commission to DCH-ACCT N. Move TRANS-AMT to DCH-ACCT 2.3.4--Withdraw-DCH-$ A. Check TRANS-REC for TRANS-AMT B. Is-this-a-valid-transaction? YES or NO C. If YES: D. Withdraw the amount from the DCH-ACCT E. Reduce DCH-ACCT-BAL by withdrawal amount F. Turn over funds to Transaction Process 2.3.5--Purchase-Securities A. Wire purchase order to stock company B. Wire $ to company account C. Accept stock certificate facsimile D. Check for match: SHARES-PURCH = PURCH-SHARES-ON-ORDER? E. Check for match: PURCH-PRICE = PURCH-ORDER-PRICE? F. Send certificate facsimile to DCH bank 3.3.2--Sell-Securities A. Wire purchase order to stock company B. Wire stock certificate facsimile to stock company C. Return actual certificate D. Accept $ from company account E. Check for match: SHARES-SOLD = SOLD-SHARES-ON-ORDER? F. Check for match: SALE-PRICE = SALE-ORDER-PRICE? G. Deposit proceeds less commission to CUST-MM-ACCT J. Deposit commission to DCH-ACCT 3.3.4--Deposit-$-to-MM-Account A. Deposit money into CUST-ACCT B. Call ???--Daily Transaction Report to DCH Management C. Call 4.1.1--Daily Statement to Client D. Call ???-Post transaction E. Call 1.1.2/1.2.3/1.3.3/1.4.3--Update account information 4.1.1--Send-Daily-Statement-to-Client A. Organize by client data from order forms B. Write a report with totals C. Sign report with client's broker's name D. Option: Include graph that depicts percentages extent of involvement in each type investment 7—Browse-Client-File Move LNAME to map Move FNAME to map Move ACCTNUM to map Move PHONE to map Move PIN to map Move SSNUM to map Move SEX to map Move MOMNAME to map Move SADDR to map Move CITY to map Move STATE to map If state is a US possession, display SPECIAL TRADE, details Move ZIP to map Move BRNUM to map Look up BRNAME in table; send it to map Move CDTLIM to map Move LOAN to map Compute CURLIM = CDTLIM – LOAN; send result to map Move MMBAL to map Look up BRMGR in table; send name to map Display screen Browse forward, back, to top and bottom by alternate key Browse by duplicate alternate key Browse forward, back, to top and bottom by primary key Send temp queue with account information to Client Updater 8—Browse-Security-File Move DTSTAMP to map Move YEAR to map Determine AMPM and move AM or PM to map Move STNUM to map Move TRCODE to map Move SECTYPE to map Move QTY to map Move PUNIT to map Calculate TOTAL and move it to map Move DESC to map Move BRNUM to map Calculate COMMISS and move it to map Calculate BALANCE and move it to map Calculate LOANAMT and move it to map Move ACCTNUM to map Move PKEY to map Look up BRNAME in DB2 table; send name to map and file Look up BRMGR in DB2 table; send name to map and file Display screen Browse forward, back, to top and bottom by alternate key Browse by duplicate alternate key Browse forward, back, to top and bottom by primary key Send temp queue with account information to Security Updater + Unresolved Child Processes (Resolved as of 1-23-2002) ???--Set-Up-Account (1-23-2002: Part of Client Updater) A. Call 2.1.1/3.1.1--Take Personal Information B. Enter ACCT-BAL C. Move in CD-AMT 1. Enter CD-identification initials D. Move in T-BOND-AMT 1. Move in bond IDs E. Move in MUTUAL-FUND-AMT 1. Move in fund IDs F. Move in MUNI-BOND-AMT 1. Move in muni bond IDs G. Move in amount in CORP-BOND-AMT 1. Move in corporate bond IDs H. Move in STOCK-AMT 1. Move in stock IDs ???--Post-to-Daily-DCH-Mgt-Trans-Rept (1-23-2002: Part of Security Updater, batch report programs) A. Control breaks: Date, broker, sale or purchase, total ???--Post-Trans (1-23-2002: Part of Security Updater, batch report programs) A. Organize the information by broker, customer, buy or sale amount B. Include information about customer loan balance ???--Create-and-Send-Daily-DCH-Management-Trans-Rept (1-23-2002: Part batch report programs) Organize by broker the sales data from the order forms Write report with totals for each segment and the DCH (cash) account Option: Include graph depicting percentages each broker's performance in each type of investment ???--Invalidate-Purchase (1-23-2002: Part of Transaction Update) A. Send error to client terminal B. Move DEAD-TRANS to CUST-TRANS-REC C. Rewrite CUST-TRANS-REC D. Move CUST-TRANS-REC to DAILY-REPORT Go to Page: 1 2 3 4 5 6 HOME Next

Process Specs for DCH Turnkey Brokerage Package

1.1.1/1.2.2/1.3.2/1.4.2--Update-DCH-Info

A. Update transaction amount: Move buy / sell order $ into TRANS-AMT

B. Update DCH commission

C. Update DCH information on client accounts

D. Update DCH information on DCH-ACCT

E. Check for match: DCH-ACCT-BAL >= MINIMUM-DCH-BAL? YES or NO

F. Did DCH post all transactions? Check return codes

G. Did DCH report transaction to management & client? Check return codes

H. Did DCH record transaction for monthly reports? Check return codes

1.1.2/1.2.3/1.3.3/1.4.3--Update-Acct-Info

A. Note: No update possible on ACCTNUM.

B. If change, move in new M-MAIDEN-NM.

C. If change, move in new LNAME

D. If change, move in new FNAME

E. If change, move in new SSNUM

F. If change, move in new SADDR

G. If change, move in new CITY

H. If change, move in new STATE

I. If change, move in new ZIP

J. If change, move in new PHONE

K. If change, validate PIN (Must be unique); move in new PIN (4-digit)

L. Rewrite ACCT-REC with new values

1.2.1/1.3.1--Receive-Money

A. If customer-sent-paper-ck, deposit in DCH account

B. If customer-E-transferred-funds, accept funds

C. Increment DCH-Balance

1.4.1--Issue-Check

A. If customer-wants-paper-ck, prepare and send check

B. If customer-wants-E-check, transfer funds to customer-account

C. Decrement Cust-Balance

1.4.2--Make-Order-Adjs (Including Validation)

A. Call Process 2.1.2/2.2.1/3.1.2/3.2.1--Validate-Personal-Information

B. Check for match: Trans-Amount and Buy-Sell-Order

C. Check for match: DCH-Received-Commission and Calculated-Commission

D. Did client receive proceeds or equity that he's entitled to? Check return code.

E. Are client and DCH accounts > allowed-minimum-balance? YES: Next; NO: Error

F. Has DCH posted transaction? Check return code.

G. Has DCH reported transaction to DCH management & client? Check return code.

H. Did DCH record trans for management and client monthly reports?

I. If OK, return zero. Else return error code.

2.1.1/3.1.1--Take-Personal-Info

A. Move in LNAME and FNAME

B. Create ACCTNUM

C. Move in SSN

D. Move in SADDR

E. Move in CITY

F. Move in STATE

G. Move in ZIP

H. Move in PHONE

I. Move in MOMNAME

J. Create and validate PIN (four unique digits)

2.1.2/2.2.1/3.1.2/3.2.1--Validate-Personal-Info

A. LNAME & FNAME NOT= space & alphabetic?

B. ACCTNUM numeric & NOT= ACCTNUM file member?

C. SSNUM numeric?

D. SADDR NOT= space?

E. CITY Not= space, alphabetic & = zip code?

F. STATE NOT= space, alphabetic & = state code member?

G. ZIP numeric?

H. PHONE numeric?

I. MOMNAME NOT= space & alphabetic?

J. PIN (4 digits) NOT= space, numeric & NOT= PIN table members?

K. All $-FIELDS numeric?

L. If any of these items tests TRUE, return error; add to report

2.1.3--Produce-Buy-Sell-Order

A. Determine if buy or sell

B. Call 2.1.2/2.2.1/3.1.2/3.2.1-Validate Personal Information

C. Validate PIN

D. Move in NAME

E. Move in ACCTNUM

F. Move in $-AMT of trans

G. Move in INVEST-TYPE (CD, T-BOND, MUT-FUND, MUNI-BD, CORP-BD, STOCK)

H. Return TRANS-REC

2.2.2/3.2.2--Update-Price

A. Move in MARKET-VAL of investment from incoming stock stream on wire service

B. Return market value

2.3.1.2/3.3.1.2--Calculate-Commission

A. See my handout

2.3.1.3/3.3.1.3--Calculate-Stock-Price

A. Move in ISSUE-PRICE from incoming stock stream on wire service

2.3.2.1--Determine-Type-of-Loan

A. Determine client's credit limit:

B. Match credit limit with LOAN-TYPE-TAB member

c. Move in selected LOAN-TYPE-TAB member

2.3.2.2--Validate-Monies

A. IS-CUSTOMER-CREDITWORTHY:

B. Is CUST-ACCT-BAL >= 20% of transaction amount?

C. If NO: Perform ???--Invalidate-Purchase: Send error to client term

D. If YES: Move 80% of Trans-Amount to Client-Account

2.3.3--Withdraw-Client-$

A. Check TRANS-REC for TRANS-AMT

B. Is-this-a-valid-transaction? YES or NO

C. Call Process 2.1.2/2.2.1/3.1.2/3.2.1--Validate Personal Information

D. Does-trans-involve-a-commission?

E. If YES:

F. Call Process 2.3.1.2/3.2.1.2--Calculate Commission

G. Charge client 2.5% above prime for 3-year-term

H. Prorate total and bill client

I. Charge client 2.5% above prime for 3-year-term.

J. Prorate total and bill client

K. Withdraw initial amount from client account

L. Reduce client account balance by withdrawal amount

M. Credit commission to DCH-ACCT

N. Move TRANS-AMT to DCH-ACCT

2.3.4--Withdraw-DCH-$

A. Check TRANS-REC for TRANS-AMT

B. Is-this-a-valid-transaction? YES or NO

C. If YES:

D. Withdraw the amount from the DCH-ACCT

E. Reduce DCH-ACCT-BAL by withdrawal amount

F. Turn over funds to Transaction Process

2.3.5--Purchase-Securities

A. Wire purchase order to stock company

B. Wire $ to company account

C. Accept stock certificate facsimile

D. Check for match: SHARES-PURCH = PURCH-SHARES-ON-ORDER?

E. Check for match: PURCH-PRICE = PURCH-ORDER-PRICE?

F. Send certificate facsimile to DCH bank

3.3.2--Sell-Securities

A. Wire purchase order to stock company

B. Wire stock certificate facsimile to stock company

C. Return actual certificate

D. Accept $ from company account

E. Check for match: SHARES-SOLD = SOLD-SHARES-ON-ORDER?

F. Check for match: SALE-PRICE = SALE-ORDER-PRICE?

G. Deposit proceeds less commission to CUST-MM-ACCT

J. Deposit commission to DCH-ACCT

3.3.4--Deposit-$-to-MM-Account

A. Deposit money into CUST-ACCT

B. Call ???--Daily Transaction Report to DCH Management

C. Call 4.1.1--Daily Statement to Client

D. Call ???-Post transaction

E. Call 1.1.2/1.2.3/1.3.3/1.4.3--Update account information

4.1.1--Send-Daily-Statement-to-Client

A. Organize by client data from order forms

B. Write a report with totals

C. Sign report with client's broker's name

D. Option: Include graph that depicts percentages extent of involvement

in each type investment

7—Browse-Client-File

Move LNAME to map
Move FNAME to map
Move ACCTNUM to map
Move PHONE to map
Move PIN to map
Move SSNUM to map
Move SEX to map
Move MOMNAME to map
Move SADDR to map
Move CITY to map
Move STATE to map
If state is a US possession, display SPECIAL TRADE, details
Move ZIP to map
Move BRNUM to map
Look up BRNAME in table; send it to map
Move CDTLIM to map
Move LOAN to map
Compute CURLIM = CDTLIM – LOAN; send result to map
Move MMBAL to map
Look up BRMGR in table; send name to map
Display screen
Browse forward, back, to top and bottom by alternate key
Browse by duplicate alternate key
Browse forward, back, to top and bottom by primary key
Send temp queue with account information to Client Updater

8—Browse-Security-File

Move DTSTAMP to map
Move YEAR to map
Determine AMPM and move AM or PM to map
Move STNUM to map
Move TRCODE to map
Move SECTYPE to map
Move QTY to map
Move PUNIT to map
Calculate TOTAL and move it to map
Move DESC to map
Move BRNUM to map
Calculate COMMISS and move it to map
Calculate BALANCE and move it to map
Calculate LOANAMT and move it to map
Move ACCTNUM to map
Move PKEY to map
Look up BRNAME in DB2 table; send name to map and file
Look up BRMGR in DB2 table; send name to map and file
Display screen
Browse forward, back, to top and bottom by alternate key
Browse by duplicate alternate key
Browse forward, back, to top and bottom by primary key
Send temp queue with account information to Security Updater

+ Unresolved Child Processes (Resolved as of 1-23-2002)
???--Set-Up-Account (1-23-2002: Part of Client Updater)

A. Call 2.1.1/3.1.1--Take Personal Information

B. Enter ACCT-BAL

C. Move in CD-AMT

1. Enter CD-identification initials

D. Move in T-BOND-AMT

1. Move in bond IDs

E. Move in MUTUAL-FUND-AMT

1. Move in fund IDs

F. Move in MUNI-BOND-AMT

1. Move in muni bond IDs

G. Move in amount in CORP-BOND-AMT

1. Move in corporate bond IDs

H. Move in STOCK-AMT

1. Move in stock IDs

???--Post-to-Daily-DCH-Mgt-Trans-Rept (1-23-2002: Part of Security Updater, batch report programs)

A. Control breaks: Date, broker, sale or purchase, total

???--Post-Trans (1-23-2002: Part of Security Updater, batch report programs)

A. Organize the information by broker, customer, buy or sale amount

B. Include information about customer loan balance

???--Create-and-Send-Daily-DCH-Management-Trans-Rept (1-23-2002: Part batch report programs)

Organize by broker the sales data from the order forms
Write report with totals for each segment and the DCH (cash) account
Option: Include graph depicting percentages each broker's performance in each type of investment

???--Invalidate-Purchase (1-23-2002: Part of Transaction Update)

A. Send error to client terminal

B. Move DEAD-TRANS to CUST-TRANS-REC

C. Rewrite CUST-TRANS-REC

D. Move CUST-TRANS-REC to DAILY-REPORT

Go to Page: 1 2 3 4 5 6 HOME Next

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