Copy of Master File DR Life Cycle Testcases_2111t_Final

8/7/2019 Copy of Master File DR Life Cycle Testcases_2111t_Final

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BRD/FRS Pre-requisites Step No Test Steps

Verify DR Life Cycle .

1 1 Login into the adrbnyapps.com application.

2

3 Click on Master File

4 Click on Profile Link

TestCase ID

TESTScenario

DR Should be created first withLevel I and all the approvals shouldbe done. Please execute CreateDR Level I Sponsored Test case

from DR Profile Test case List.

Upgrade DR from Level I toLevel II

For all the test cases:If the user is prompted to entereither DR documentation, Issuerdocumentation , Sec Filinginformation or any otherinformation then the same can bereferred from any other test casewhich has the steps for the samebecause this is specific to the DR

chosen(Bny,non Bny etc) by theuser and is not common for all. Thesame holds good for the respectiveapprovals.

Enter the Valid User ID and Password andclick Login


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5 Click on DR Link

6

7

Enter the search values in the followingmanner.

Select DR Name :Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch

(Note Default Values for

1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )

Open DR from Search Result

Note ( DR should have not have undergoneDR life cycle already)


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11 Click Ok ,Save and Check for Flag

12 Click CUSIP Summary Tab

13 Click on add button

14

Select Upgrade and Click Create New DR

(Note But the Status need to be changed toEffective to approve. )

Edit the following in Details Tab.

1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008]

Select the Type as Primary and then click on

CUSIP Question Mark


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17 Click on Create/History Tab

18

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20 Click Cancel button

21 Click DR Documentation

22 Click Cancel

23

Select the exchange from the question markand click save.

NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..

Go to Details Tab and Change the status asEffective and click save

In Deposit Agreement fill the following fields

1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank

7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None


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25

26

27

28 Click on DR [DR Name]

29 Click Cancel

30

31 Click on Issuer [Issuer Name]

32 Click Cancel

Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill

1.DSF in Deposit Agreement: No2.Charge DSF:No

a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save

Click Letter agreement Tab and click Addbutton and the fill the following fields.

1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save

Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save


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39 Click on DR Search

40 Click Committed one

41 Change the status to effective and click Save

42 Click Logout

43 Login to the application with the same Url

44 Click Approval Queue



If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date

Certificate of Authorized Persons (CAP)1.Required - NoAnd Click on Save.

This user should have access toapproval Queue and should beable to approve


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48

49

50 Click Back link.

51 Click Issuer Documentation

52

53

54

55 Click Back link.

56 Click DR Profile

Select the Name Created by you using thenormal User.

Select Approve for all the items and clickSave

Select the item Pending Approval fromAppr.Status and click Search

Select the Issuer Name Created by youusing the normal User.


57 S l t th it P di A l f


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60 select Execute batch and click Save

61 Click Logout

62 Repeat step 1--5

63




Login with the user which you used

to create the DR Life Cycle


Select DR Type as Level IISelect S/U as SSelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6 S/U All


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5 Click on DR Link


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5 Click on DR Link

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Select DR Name : Created NameSelect DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All

5.Sub-Status - All6.S/U - All7.Dr Exchange - All )



Click DR Life Cycle

10 Edit the following in Details Tab


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11 Click Ok and Check for Flag



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1.Name2.Select Effective Date [ Any date Older Datei.e.., older than May 2 2008] and click Save

Select the Type as Primary and then click onCUSIP Question Mark.

Select a Value by clicking on the CUSIPName link in the popup and and click Save.

Select the row which has Y in DR Life CycleC l 18 Select the exchange from the question mark


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22 Click Cancel

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Select the exchange from the question markand click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..



1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank

7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.

Click Fees and add all the fees in each row

25 Navigate to the 'Deposit Agreement' tab and


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29 Click Cancel

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32 Click Cancel

Navigate to the Deposit Agreement tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill






36 Fill the following :


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42 Click Logout




Fill the following :

1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272

If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.

1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date



47 Select the item Pending Approval from


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50 Click Back link.


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Select the item Pending Approval from

Appr.Status and click Search



56 Click DR Profile


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56 Click DR Profile

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61 Click Logout62 Repeat step 1--5

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Login with the user which you usedto create the DR Life Cycle


65 Open the DR and look for flags


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Verify DR Life Cycle


Go to CUSIP Summary tab and look for Flagand N mark

Check the values in the following fields:Type

CUSIPDR ExchangeDR Ticker SymbolRatio DRsRatio Underlying SharesCurrent CUSIP

Navigate to the 'Detail' tab and note theEffective date. .Also the origin should beUpgrade.

Verify that the Level III and Level I areconnected with Prior/Next buttons.

Click on DR search and navigate to the DRsearch screen.

Click on the Old DR which undewent thelifecycle.

Navigate to the 'Detail' tab and check for the'Termination reason' field and No Initial SaleDate should appear on Level I.

Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ie

DR2).Create/History CUSIP tab should be on theLevel I with old data.

DR Should be created first withRegS and all the approvals Shouldbe done. Please execute CreateRegS Only Sponsored DR Testcase from DR Profile Test caseList.

PPC DR from RegS Only toLevel I

2 Enter the Valid User ID and Password and


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5 Click on DR Link

click Login

6 Enter the search values in the following


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gmanner.

Select DR Name : Name CreatedSelect DR Type as RegSSelect S/U as SSelect DR Status as Effective and ClickSearch




Note ( DR should have not have undergone

DR life cycle already)

Click DR Life Cycle

Select Private Placement Conversion andClick Create New DR





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15

16 Click Save




Select the row which has Y in DR Life CycleColumn.



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24 Click CUSIP Profile

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28 Click Back

29 Click DR Profile






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34 Click Logout

35 Repeat step 1--5

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Login with the user which you used

to create the DR Life CycleEnter the search values in the followingmanner.

Select DR Type as Level ISelect S/U as SSelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6 S/U All

41 The Reg. S and Level I should be connectedith P i /N t b tt


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2

with Prior/Next buttons.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.

Verify that the termination date(as noted

above for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).

Create/History CUSIP tab should be on theReg. S with old data. New data should be onthe CUSIP.

DR Should be created first withRegS and all the approvals Shouldbe done. Please execute Create

RegS Only Sponsored DR Testcase from DR Profile Test caseList.

PPC DR from 144A Only toLevel Il


5 Click on DR Link


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Select DR Name : Name CreatedSelect DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All

7.Dr Exchange - All )


8 Click DR Life Cycle


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Select Private Placement Conversion andselect Level II from list box and Click CreateNew DR

(Note But the Status need to be changed to

Effective to approve. )



Select the SEC Fillings tab if it exists for theDR.



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18 Click Save







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22 Click Cancel

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1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary

11.Blocking Type - None12.Termination Period - 730Click Save.

Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save.

Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: No

and click Save

27 Click Letter agreement Tab and click Addbutton and the fill the following fields


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29 Click Cancel

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32 Click Cancel

33 Click on Issuer Documentation

34 Click Sec Filing and MAL Tab

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button and the fill the following fields.



If editable then Change MAL as No elsechange 'On Website' to 'yes .


1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345 Non US Goverment Issued ID# eg



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41

42 Click Logout





47






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53

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55 Click Back link.


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61 Click DR Profile


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66 Click Logout67 Repeat step 1--5

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2


Navigate to the 'Detail' tab and note the

Effective date and status.Verify that the RegS and Level II areconnected with Prior/Next buttons.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.

Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ieDR2).

navigate to the Create/History CUSIP taband there should be old data

DR Should be created first withRegS and all the approvals Shouldbe done. Please execute CreateRegS Only Sponsored DR Test

case from DR Profile Test caseList.

PPC DR from Bifurcated toLevel IlI


5 Click on DR Link


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Select DR Name : Name CreatedSelect DR Type as RegSSelect S/U as S

Select DR Status as Effective and ClickSearch



Open DR from Search Result wherestructure is bifurcated.


Click DR Life Cycle

10 Edit the following in Details Tab.


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Select the row which has Y in DR Life CycleC l

18 Select the exchange from the question markand click save.


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20 Click Logout





25

NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..



Select the item Pending Approval fromAppr Status and click Search

29 Click DR Profile


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33 Select Execute batch and click Save

34 Click Logout

35 Repeat step 1--5

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38 Open the DR and look for flags39 Go to CUSIP Summary tab and look for Flag


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y gand N mark

Navigate to the 'Detail' tab and note theEffective date.

Check the Reg. S and Level III should beconnected with Prior/Next buttons.


Click on the Old DR which undewent the

lifecycle.Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Reg. S.


Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andnote the Cusip name in the screen.

Navigate back and Click on the relatedbutton and verify that the 144A DR is intactand not terminated.

Navigate to Cusip tab and note all thedetails. Also click on the Cusip number andverfiy Cusip name in the screen matcheswith above.

Navigate back to RegS DR andCreate/History CUSIP tab should be on theReg. S with old data.

DR Should be created first withLevel III and all the approvals aredone. Please execute Create DRLevel III Sponsored Test case fromDR Profile Test case List.

Delisting DR from Level III toLevel I


5 Click on DR Link


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Select DR Name : Name CreatedSelect DR Type as Level IIISelect S/U as S







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11 Click Ok ,Click Save and Check for Flag


Select Delist and select Level I from list boxand Click Create New DR





14 Select the Type as Primary and then click onCUSIP Question Mark.


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16 Click Save


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19

20 Click Cancel button.

21 Click DR Documentation Link




Check the exchange if present and clicksave.Note: Verify OTC should be present as theExchange.


24 Click Fees and add all the fees in each rowuntil all the fees are added and if any of thefee is blank fill 0 and then click Save


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29 Click Cancel

30

31 Click Cancel

32 Click Logout


fee is blank fill 0 and then click Save.


and click Save

b)Now try to fill




1.Letter Agreement date Older Date2.Letter Agreement Expiration - No

3.Reimbursement Expiration - No andclick Save

Go to Detail Tab and Change the status toeffective and click Save

This user should have access toapproval Queue and should be



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38

39

40 Click Back link.


42





46 Click DR Profile


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50 Select Execute batch and click Save

51 Click Logout

52 Repeat step 1--5

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2


If you have not created a new CUSIP andmapped the exisitng CUSIP to the newlycreated DR then go to Create/History CUSIPand check for flags

Navigate to the 'Detail' tab and note theEffective date. Also the origin should beDelisting.

The Level III and Level I should beconnected with Prior/Next buttons.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on Level II.


Create/History CUSIP tab should be on theLevel II with old data.

a)DR Should be created first withLevel II and all the approvals aredone. Please execute Create DRLevel III Sponsored Test case fromDR Profile Test case List.b)If the user is prompted to entereither DR documentation, Issuerdocumentation , Sec Filinginformation or any otherinformation then the same can be

Delisting DR from Level II to

Level I

Enter the Valid User ID and Password and


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14 Click on the '?' icon next to CUSIP andSelect a Value by clicking on the CUSIPName link in the popup and and click Save.


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15 Click Save


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Name link in the popup and and click Save.


Check the exchange if present and click

save.Note: Verify OTC should be present as theExchange.

If the Sec Filing tab is present and the fieldsare without any data then follow the step 12to 13 of TC4 above.


23 In Deposit Agreement fill the following fields

1.Law Governing Deposit Agreement :US


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g p g2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes

10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.



b)Now try to fill

1.DSF in Deposit Agreement: No

2.Charge DSF:Noa)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No



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35





40 Click Cancel

41 Click Logout


43 Cli k A l Q




If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Select

from ? Mark)2.Approval Date - Older Date





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49 Click Back link.


51







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59 Click Back link.

60 Click DR Profile

61







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65 Click Logout

66 Repeat step 1--5

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1.Status - All

2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )

Look for the name for which u delisted fromLevel II to Level I


Navigate to the 'Detail' tab and note theEffective date. Also the status is effective.And Origin is PPC.

The Level II and Level I should be connected

with Prior/Next buttons.



8 1 Login into the adrbnyapps.com application.PPC DR from 144A Only toLevel I


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5 Click on DR Link


6 Enter the search values in the followingmanner.

S l t DR N N C t d


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1.Status - All




DR life cycle already)Click DR Life Cycle

Select Private Placement Conversion andClick Create New DR




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15 Click Save


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click on the '?' icon and Select a Value byclicking on the CUSIP Name link in thepopup and and click Save.


Check the exchange if present and clicksave.

Note: Verify OTC should be present as theExchange.


1.Law Governing Deposit Agreement :US2 Deposit Agreement Date (today's date)


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2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes




b)Now try to fill

1.DSF in Deposit Agreement: No

2.Charge DSF:Noa)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No


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48 Click Back link.


50







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58 Click Back link.

59 Click DR Profile

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64 Click Logout

65 Repeat step 1--5

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1.Status - All


Look for the name for which u PPC from144A to Level I


Navigate to the 'Detail' tab and note theEffective date. Also the status is effective.And Origin is PPC.

Verify that the 144A and Level I should be

connected with Prior/Next buttons.Click on DR search and navigate to the DRsearch screen.


Verify DR Life Cycle DR Should be created first with144A Only and all the approvalsare done. Please execute CreateDR 144A Only Sponsored Test


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5 Click on DR Link

DR 144A Only Sponsored Testcase from DR Profile Test caseList.

PPC DR from 144A Only toLevel II



Select DR Name : Name Created


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1.Status - All




DR life cycle already)Click DR Life Cycle

Select Private Placement Conversion andselect Level II and Click Create New DR






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16 Click Save



click on the '?' icon next to CUSIP and Seleca Value by clicking on the CUSIP Name linkin the popup and and click Save.




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1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730Click Save.



and click Save

27 Click Letter agreement Tab and click Addbutton and the fill the following fields.

1.Letter Agreement date Older Date


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29 Click Cancel

30 Click on Issuer Profile



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g2.Letter Agreement Expiration - No3.Reimbursement Expiration - No andclick Save








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49 Click Back link.





51 Select the item Pending Approval fromAppr.Status and click Search


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54 Click Back link.


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Select the Name Created by you using the

normal User.




Select Approve for all the items and click

Save

60 Click DR Profile


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65 Click Logout

66 Repeat step 1--5

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Not Done 76



2


Navigate to the 'Detail' tab and note theEffective date. Origin should be PPC.

Verify that the 144A and Level II should be

connected with Prior/Next buttons.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on 144A.

Verify that the termination date(as notedabove for DR1) is a day prior than the

effective date of current Effective DR ( ieDR2).

Navigate to the Cusip/history tab andCreate/History CUSIP tab should be on the144A with old data. New data should be onthe CUSIP.

DR Should be created first with144A Only and all the approvalsare done. Please execute Create

DR 144A Only Sponsored Testcase from DR Profile Test caseList.

PPC DR from 144A Only toLevel III


5 Click on DR Link


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1.Status - All




Click DR Life Cycle

Select Private Placement Conversion andselect Level II and Click Create New DR


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18 Click Save



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Select the exchange from the question markand click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message"Typically,American, NASDAQ or New Yorkstock exchanges are chosen for a LevelII orIII. The exchange chosen is not one ofthose,please verify the exchange..



1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer

6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes

27 Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1 DSF in Deposit Agreement: No


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31 Click Cancel

32 Click on Issuer Profile



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1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill






37 If the BCP/Paf tab exists and is unfilled withvalues then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)


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42 Click Cancel

43 Click Logout





from ? Mark)2.Approval Date - Older Date



49 Select the Name Created by you using thenormal User.


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51 Click Back link.


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56 Click Back link.






60 Select Approve for all the items and clickSave


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61 Click Back link.

62 Click Back link

63 Click DR Profile

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Select Approve for all the items and click


Select DR Type as Level IIISelect S/U as S


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Select S/U as SSelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All

3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )

Look for the name for which u PPC from144A to Level III


Navigate to the 'Detail' tab and note theEffective date.

Verify that the 144A and Level II should beconnected with Prior/Next buttons.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also No Initial SaleDate should appear on 144A.


Navigate to the Cusip/history tab andCreate/History CUSIP tab should be on the144A with old data. New data should be onthe CUSIP.

2 Enter the Valid User ID and Password andclick Login


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5 Click on DR Link


Select DR Name :Select DR Type as Level ISelect S/U as USelect DR Status as Effective and ClickSearch



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Select DR Conversion and S/U as S , SelectBNY as Depositary and Click Create New DR




14 Select the Type as Primary and then click onCUSIP Question Mark.


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16 Click Save


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22 Click Cancel



Check the exchange if present and clicksave.Note: Verify OTC should be present as theExchange.



1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today's


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date)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes



Navigate to the 'Deposit Agreement' tab andverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No

3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill


a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No

30 Change the status from Committed toeffective and give the effective date as monthMay[ any date] and click Save


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33 Click Cancel



36

37

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Select any one value for First filter from Dropdown list and click Save





Certificate of Authorized Persons (CAP)

1.Required - NoAnd Click on Save.



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49

50

51

52 Click Back link.




55 Select the Issuer Name Created by youusing the normal User.


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57 Click Back link.

58 Click DR Profile

59

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Select DR Type as Level IISelect S/U as SS l t DR St t Eff ti d Cli k


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68

69

70 Navigate back to the new DR.

71

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74

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1.Status - All2.DR Type - All

3.DR Origin - All4.Country of Management - All5.Sub-Status - All6.S/U - All7.Dr Exchange - All )

Look for the name for which changed the DrConversion(New DR)

Navigate to the 'Detail' tab and note theEffective date and Origin is New program.

In detail tab,The DR should have the priorbutton which displayes the original DR.



Navigate to the 'Detail' tab and check for the'Termination reason' field. Also there shouldbe No Initial Sale Date appearing on thisDR.

Verify that the termination date(as notedabove for DR1) is a day prior than theeffective date of current Effective DR ( ie

DR2).Create/History CUSIP tab should be on the .DR with old data.

Not Done this Step but the Same In detail tab The DR should have the next 2 Enter the Valid User ID and Password and

click Login


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5 Click on DR Link


Select DR Name :Select DR Type as Level IISelect S/U as USelect DR Status as Effective and ClickSearch



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Select DR Conversion and S/U as S , Selectany Depositary and Click Create New DR





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Navigate to the 'Deposit Agreement' tab and


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29 Click Cancel

30

31

g gverify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill


a)In Depositary Service Fee fill



1.Letter Agreement date Older Date2.Letter Agreement Expiration - No3.Reimbursement Expiration - No and

click Save



36

37



1.20-F Filer - Yes2 12 3 2(b) Filt N


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42

43 Click Cancel44 Click Logout



2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272

If the BCP/Paf tab exists and is unfilled with

values then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date


Change the status to effective, select filtervalue and click Save




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51

52 Click Back link.


54




Select the item Pending Approval from


58 Click DR Profile


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63 Click Logout

64 Repeat step 1--5

65








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70 Navigate back to the new DR.71

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2







Create/History CUSIP tab should be on the .DR with old data.

Not Done this Step, but the Sameis Verified in Function written.

In detail tab,The DR should have the nextbutton which displayes the New DR.

DR Should be created first withLevel III and all the approvalsshould be done. Please executeCreate DR Level III UnsponsoredTest case from DR Profile Testcase List.

Select DR Level III Unsponsored and Covert to DRSponsored.

Enter the Valid User ID and Password and

click Login

5 Click on DR Link


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Select DR Name :

Select DR Type as Level IISelect S/U as USelect DR Status as Effective and ClickSearch


1.Status - All2.DR Type - All3.DR Origin - All4.Country of Management - All5.Sub-Status - All

6.S/U - All7.Dr Exchange - All )



Click DR Life Cycle




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14

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18 Select the exchange from the question mark

and click save.NOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange or else the user isprompted with a message


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22 Click Cancel

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24

25

g"Typically,American, NASDAQ or New York



1.Law Governing Deposit Agreement :US

2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None12.Termination Period - 730

Click Save.


until all the fees are added and if any of thefee is blank fill 0 and then click Save.

Navigate to the 'Deposit Agreement' tab and

26 a)In Depositary Service Fee fill



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29 Click Cancel

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31


33 Click Cancel


35 Click Sec Filing and MAL Tab36

37


1.Letter Agreement date Older Date2.Letter Agreement Expiration - No

3.Reimbursement Expiration - No andclick Save




Fill the following : 38 If the BCP/Paf tab exists and is unfilled with

values then fill the following fields.1.Approved - Yesthen division approved by :ADR(Selectfrom ? Mark)2.Approval Date - Older Date


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42

43 Click Cancel

44 Click Logout











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51

52 Click Back link.


54

55

56


normal User.





58 Click DR Profile


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63 Click Logout

64 Repeat step 1--5

65








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69

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71 Navigate back to the new DR.

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77



2








Create/History CUSIP tab should be on the .DR with old data.

Not Done this Step, but the Sameis Done in the Function Written

In detail tab,The DR should have the nextbutton which displayes the New DR.

DR Should be created first with144A and another DR with RegSand both should share sameCUSIP and unsponsored. and allthe approvals are done. Pleaseexecute Create Bifurcated DR Testcase from DR Profile Test caseList.

Conversion of Bifurcated DRfrom Unsponsored DR to

sponsored.

E t th V lid U ID d P d d 5 Click on DR Link


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Enter the search values in the followingmanner.(From results choose Bifurcated DR)

Select DR Name :Select DR Type as 144ASelect S/U as USelect DR Status as Effective and ClickSearch



Open DR from Search Result. Select

Bifurcated DR.


Click DR Life Cycle




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Select the Type as Primary and then click onCUSIP Question Mark.Use the same CUSIP.





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19



22 Click Cancel

23

The Exchange should be defaulted to None.Note: None will be defaultly displayed in theExchange field.



1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None

12.Termination Period - 730Click Save.

25 Navigate to the 'Deposit Agreement' tab and

verify the expected results for a) and b)below:a)In Depositary Service Fee fill1.DSF in Deposit Agreement: No2.Charge DSF:No3 Net DSF from Cash Dividend: No


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29 Click Cancel

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31

32 Cli k I [I N ]

3.Net DSF from Cash Dividend: Noand click Save

b)Now try to fill







37 Fill the following :

1.20-F Filer - Yes2.12g3-2(b) Filter No3.CIK Code - Any Value4.CCC Code - eg: a34324345 Non-US Goverment Issued ID# - eg


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42

43 Click Cancel

44 Click Logout




5.Non US Goverment Issued ID# egA78839272








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51

52 Click Back link.


54

55








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61

62 Click Back link.

63 Click DR Profile

64




68 Click Logout

69 Repeat step 1--5

70



Select DR Type as 144A


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Select DR Type as 144ASelect S/U as SSelect DR Status as Effective and ClickSearch



Look for the name for which Converted fromNon Sponsored to Sponsored.


Navigate to the 'Detail' tab and note the

Effective Date for the Unsponsored DR andthe origin should be 'New program'. Also Noinitial Sale Dates appear for the unsponsoredDR.


Navigate back and in the detail tab Click onrelated button and Similarly note theEffective date and Origin. It should be thesame as above.

Navigate to Cusip tab and verfiy that all thedetails match. Also click on the Cusipnumber and verify the Cusip name in the

Need to Cover this Step. 83

84

Click on related button and Similarly note the

Termination date for Regs DR also and andtermination dates is one date before theeffective dates of the sponsored DRs..

The termination reasons for the unsponsoredRegS. DR should be UnsponsoredConversion


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Not Done 85


15 PPC for Bifurcated RegS DR 1 Login into the adrbnyapps.com application.

2



5 Click on DR Link

Conversion.

Navigate to the Create/History CUSIP tabs for both the DRs. There should be old data.

DR Should be created first with144A and another DR with RegSand both should share sameCUSIP and all the approvals aredone. Please execute CreateBifurcated DR Test case from DRProfile Test case List.




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12

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Select Private Placement Conversion, selectany Level and Click Create New DR





Select the SEC Fillings tab if it exists for theDR else skip the current and next step.

Fill in the information in the following fields ifthere is no information already present :Total # F-6 ADSsCurrent F-6 ADSs Reg (Text box) - 200000

Previous F-6 ADSs Reg# ADSs SwitchedCurrent F-6 Number (Text box) -333-10352Previous F-6 Number



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16

17

18 Click Save


Select the Type as Primary and then click on

CUSIP Question Mark.




24 Click Cancel


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1.Law Governing Deposit Agreement :US2.Deposit Agreement Date (today's date)3.Deposit Agreement Amended Date (today'sdate)4.Law Firm - any5.Law Firm - Issuer6.Law Firm - Investment Bank7.Investment Bank8.Pre-Release Side Letter :No9.Operational Checklist :Yes10. Voting type - Discretionary11.Blocking Type - None

12.Termination Period - 730Click Save.


until all the fees are added and if any of thefee is blank fill 0 and then click Save.


29 Click Letter agreement Tab and click Add

button and the fill the following fields.



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31 Click Cancel32

33


35 Click Cancel



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39





1.20-F Filer - Yes2.12g3-2(b) Filter No

3.CIK Code - Any Value4.CCC Code - eg: a34324345.Non-US Goverment Issued ID# - egA78839272



44

45 Click Cancel



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45 Click Cancel

46 Click Logout





51

52

This user should have access toapproval Queue and should be

able to approve





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57

58

59 Click Back link.


61



normal User.



65 Click DR Profile


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70 Click Logout

71 Repeat step 1--5

72








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Not Done 85

Not Done 86



Navigate to the 'Detail' tab and note theEffective date. Also Origin is PPC and statuseffective.


Navigate to Detail tab and Click on therelated button and note the effective dateand Origin for the 144A DR.

Navigate to Cusip tab and verfiy that all thedetails match. Also click on the Cusipnumber and verify the Cusip name in thescreen matches with above.

Navigate back and Verify that The Reg. Sand Level III are be connected withPrior/Next buttons.


Click on the Old DR(Regs) which undewentthe lifecycle.

Navigate to the 'Detail' tab and check for the'Termination reason' field for the Regs. AlsoNo Initial Sale Date should appear on Reg.S.


Click on the related button and verify that the144A DR is intact and not terminated.

Click related button and Navigate to theCreate/History CUSIP tab and data shouldbe on the Reg. S with old data. New datashould be on the CUSIP.

DR Should be created first withLevel II and all the approvals


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Select Warrant Radio button and ClickCreate New DR





3. Security Description [select ADR] and clickSave

14 Select the Type as Primary and then click on

CUSIP Create Mark


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16 Click Warrant Tab

17

18 Go to Detail Tab

19 Click DR Name

20 Click on CUSIP Summary/Add

Enter the Value for the following fields andclick Save

1.Ratio DRs [Mandatory]

2.Ratio Underlying Shares [Mandatory]

3.CUSIP [Mandatory]4.DR Ticker Symbol [Mandatory]5.Underlying Security [Mandatory]6.Dr Exchange [Mandatory] EX AmericanStock ExchangeNOTE : Select an exchange which is eitherAmerican Stock Exchange. NASDAQ, orNew York Stock Exchange.

Enter the following fields:

1.Warrant Agent [select from Question Mark]2.Distribution Date [Older Date]

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