5.3 Backend Order Supplementation

5.3 Back-Office Order Supplement

5.3A Q: After executing a trade on behalf of a client, how do I supplement the order back to the client?

A: Before performing a back-office order supplementation, please ensure that the service provider, sub-warehouse, and settlement channel are configured on the "Business Parameter Settings > Market Management" page (see Figure 5.3A-1, Figure 5.3A-2, Figure 5.3A-3).

After completing the preliminary configuration, go to "Clearing Management > Contract Management" and click "Add Customer Supplemental Order" (see Figure 5.3A-4 and Figure 5.3A-5). After generating the supplemental order, click "Details" and add information to the transaction record (see Figure 5.3A-6 and Figure 5.3A-7).

Figure 5.3A-1

Figure 5.3A-2

Figure 5.3A-3

Figure 5.3A-4

Figure 5.3A-5

Figure 5.3A-6

Figure 5.3A-7

5.3B Q: What should be entered for the Back-End Order Number & Back-End Transaction Serial Number?

A: You may copy and paste the contract number.

5.3C Q: What is the function of the "Estimate" in the "Fee Information" after supplementing an order?

A: Click "Estimate" to calculate fees based on the client's charging settings. The "Billing Amount" is calculated according to the client's billing configuration under "Business Parameter Settings > Billing Management"; if the bill was added manually, the "Billing Amount" will be "0".

If you wish to waive certain charges, click "Edit/Delete" within "Fee Information." After deletion, the "Billing Amount" will equal 0 and the fee will be shown in the "Receivable Amount."

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"Actual Received Amount" = "Receivable Amount" - "Deduction Amount"

5.3D Q: If a back-end supplemental order has more than one transaction record, how should the "Back-End Order Number" and "Back-End Transaction Serial Number" be filled in?

A: Enter the same contract number for the "Back-End Order Number"; enter different serial numbers for the "Back-End Transaction Serial Number."

5.3E Q: Can over-the-counter derivative products be imported as a "back-end supplemental order"?

A: In "Securities Management > Underlying Management > Private Underlying Library," click "Add Underlying" to create the underlying (see Figure 5.3E-1).

Then, in "Clearing Management > Contract Management," when creating the supplemental order, enter the full security code (see Figure 5.3E-2) to proceed with the supplementation.

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e.g.: TN/HK/XS2703791762

Figure 5.3E-1

Figure 5.3E-2