Quick Start

Overview

The securities transfer-in function in the Whale securities management system allows operators to create securities transfer-in applications for clients and review applications according to business rules, ensuring compliant and efficient client securities transfer-in operations.

Quick Start

Prerequisite

Broker information initialization must be completed

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Navigation: Stock Management > Broker Config

Click Add. In the pop-up window, fill in the information according to the tabs at the top.

To modify, deactivate, or reactivate an existing broker record, click the corresponding action button in the Action column of the target record.

Terminology

Manual Deposit

The back office operator submits a securities transfer-in application following the client's instructions.

Step 1: Select the client. Confirm the market, delivering broker, account holder name, account number, and other details for the securities to be transferred in.

Step 2: Enter the security code of the shares to be transferred in, confirm whether they are physical stocks, specify the custodian, enter the number of shares to be transferred in, and add remarks if needed.

If the shares to be transferred in are physical stock, select Yes for Whether it is a physical stock.

Notify the Broker

If the client has not confirmed the transfer details with the delivering broker, back office operators can use this function to notify the delivering broker of the transfer details and initiate the standard transfer process.

Step 1: Select the broker to whom the email should be sent.

Step 2: Select the corresponding application number.

Processing Securities Transfer-In Applications

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Navigation: Transfer In > Transfer In

Select the target application record and click Submit.

If the client has already notified the delivering broker, check Informed in the pop-up window.

Processing Securities Transfer-In Details

Select the target record and click Handle. In the pop-up window, select Submit as Successful or Submit as Failed.

If the transfer involves physical stocks and Submit as Successful is selected, the operator should decide whether to freeze the shares. If Yes is selected under Do physical stocks need to be frozen, the operator also needs to specify the unfreezing time.

After submission, a secondary approval is required. Click Audit to generate a work order. Once confirmed, the securities will be transferred in.

If the operator chooses to freeze the physical stocks upon transfer-in, they can manually unfreeze the frozen stocks later, or the system will automatically unfreeze these stocks at the Estimated Release Time.

After submission, a secondary approval is required. Click Audit to generate a work order. Once confirmed, the stocks will be unfrozen.