Quick Start

Overview

The securities transfer-out function in the Whale securities management system allows operators to create securities transfer-out 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 Transfer-Out

The back office operator submits a securities transfer-out 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: For the client selected in Step 1, the system automatically displays all securities holdings. Locate the target securities and fill in the specific securities details, quantity, and remarks.

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 Out > Transfer Out

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-Out Details

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

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