Security

The Security screen allows the system admin or compliance officer to add and maintain securities. Click the Security in the left navigation menu under Firm policy and a new Security Tab folder will be created in the right panel. There are 3 sub-Tab folders: Search Security, Search Result Security and Create New Security.

Security search screen

Search Security

Search Criteria

Field Name Description
Symbol The symbol of the security.
Security Name The name of the security.
Cusip The Cusip of the security.
Sedol The Sedol of the security.
Isin The Isin of the security.
Ric The Ric of the security.
Exchange The exchange where the security trades; eg. NYSE, NASDAQ etc.
Capital Type Large, Medium, Small or unknown
CreatedByDate Date and Time when this entry is created.
CreatedByUser User who create this entry.
ModifiedByDate Last modified date and time.
ModifiedByUser Last modified user.
AND Select AND radio box if you want those criteria added together.
OR Select OR radio box if you want to get the result if either of the criteria are met.

Functional buttons

  • Find: – click the Find button to search.
  • Clear:– click the Clear button to clear all the criteria.

Search Result Security

Security search result screen

The top part is the table which shows the list of the security that meet the search criteria. The bottom part is the details of the selected entry.

Update/Delete Security

Double Click the selected record in the table to modify this entry. A new Tab folder “Update/Delete Security” will be added, as shown below.

Security update/delete screen

Functional buttons

  • Update: – make changes on the security entry and save and switch back to the “Search result Security” Tab. Some of the fields in this form are read only, like symbol, created/modified user, and date.
  • Reset:– reset the data to its initial value and discard all the changes.
  • Cancel:– Cancel this change and switch back to the “Search result Security” Tab.
  • Delete:– Delete this entry; Then switch back to the “Search result Security” Tab.

Create New Security

Select the “Create New Security” Tab to create a new entry.

Security create new screen
Field Name Description
Symbol The symbol of the security.
Security Name The name of the security.
Cusip The Cusip of the security.
Sedol The Sedol of the security.
Isin The Isin of the security.
Ric The Ric of the security.
Security Type Type of the secuirty; eg Equity, EFT, etc.
Exchange The exchange where the security trades; eg. NYSE, NASDAQ, etc.
Issuer The issuer.
Industry The industry that this security belongs to.
Issue Country The country of the issuer.
Capital Type Large, Medium, Small, or unknown.
Security Class The security class.
CreatedByDate Date and Time when this list entry is created. It is a read only field.
CreatedByUser User who create this this list entry. It is a read only field.
ModifiedByDate Last modified date and time; It is a read only field.
ModifiedByUser Last modified user; It is a read only field.

Functional buttons

  • Create: – Click the Create button to create a new list entry and switch to “Search result Security” Tab. Symbol and Security Name are mandatory fields; if any of them is empty, an error message will be shown.
  • Clear:– Click the Clear button to clear all the fields.
  • Cancel:– Click the Cancel button to cancel operation and switch back to the “Search result Security” Tab.