12. Report Issues
Common Report Types:
12A Q: At what time is same-day report data generated?
Answer: Report data is generated after the end-of-day processing for that day is completed. Some real-time reports do not wait for end-of-day processing; the "Report Printing" page will indicate which reports are real-time.
12B Q: What customer data does compliance report IDR020 Re-activation Of Dormant Account display?
Answer: The report lists customers whose last transaction record exceeds 180 days; for new customers the account opening date is used. The report does not determine a customer's activation status.
12C Q: Does the system generate surveillance alerts for fictitious trades, price manipulation, or insider trading?
Answer: The following reports can be used to manually assess whether there are suspicious trading activities.
IDR018 - Matched Trades / Wash Trades (checks whether two or more clients executed offsetting buy and sell trades in the same stock)
IDR026 - The Proportion Of Customer Transaction Volume (identifies when a customer's trading volume exceeds 50% of the stock's daily turnover)
IDR027 - Deliberately Push Up Or Down The Closing Price (identifies orders executed in the last minute before market close at prices ≥5% above or below the previous close)
IDR019 - Suspected Order Activities Report (flags when a single client modifies or cancels orders more than 20 times)
12D Q: How to export a report of high-risk customers?
Answer: In CDR001 - Client Master Listing Report, select "Custom List", choose "Risk Tolerance", and click "Save". After exporting to Excel, filter by the "Risk Tolerance" column.
12E Q: How to export historical data for clients' stock concentration (Stock Concentration)?
Answer: RDR010 - Concentration Risk contains up to one week of data. If earlier historical data is required, obtain each client's daily holding values from SDR003 - Client Stock Holding Report (By Stock), then manually calculate stock concentration using the Hong Kong Stock Exchange’s issued market capitalization.
12F Q: How to interpret the FRR006-1 report and the FDR002-1 report?
Answer:
- FRR006-1 reports all indebted clients with Cash accounts (converted to HKD based on the selected exchange rate).
If a client holds multiple currencies, convert all balances to HKD and then compute the aggregate balance.
Example: USD 10 & HKD -50. After conversion to HKD, positive balances are not included in the FRR006-1 report.
Date basis: Trade Date & Settle Date
- FDR002-1 reports all clients' cash details (calculated by currency).
Available balance: calculated using settlement amounts
Net Balance: calculated using ledger amounts
DR indicates an outstanding debt
CR indicates no outstanding debt
12G Q: Why do RDR027 and RDR028 reports have no data?
Answer: RDR027 and RDR028 data generation times are:
Morning data: 11:30
Afternoon data: 17:30
After the afternoon data is generated, the morning data is no longer retained or displayed.