Service Operations V3.0Augmented

8/17/2019 Service Operations V3.0Augmented

1/880

BACK OFFICE PROCESSING

Request & Hold

Hand-Off

Hand-Off

Hand-Off

notifyMessageReceipt

provideSWIFTMessageActivity Hand-Off

Hand-Off

Hand-Off

readSWIFTMessages Request & Hold

sendSWIFTMessage Hand-Off

Called ServiceDomain

Called Service OperationName (Drafts BC!

Service "pe I&R!I&"!R$

Callin# ServiceDomain

InteractionR&H!R&M!HO!M

A$

S$IF Ke" %pdate & A ne' an) e*c+an#es S$IF )e"s 'it+ anot+er an)

%orrespondentan' (ata

Manage)entcreate%orrespondent an'(etails

Initiali*e &Register

%orrespondent

an'Relations+ipManage)ent

%orrespondentan' Fulfill)ent

update%orrespondent an'Status

Invo'e &",ecute

%orrespondentan'

Relations+ipManage)ent

Settle)ent(eliveryManage)ent

update%orrespondent an'ServiceStatus

Invo'e &",ecute

%orrespondentan'




Invo'e &",ecute

%orrespondentan'


Financial Messageate.ay

sendSWIFTMessageWit+Reponse

Invo'e &",ecute


Request &Monitor! Hand-Off


Report &#otify


Ma'eAnnounce)ent

O,t of Pattern Correpondent Be+avior & settlement activit" s,spended pendin# dia#nosisFinancial MessageAnalysis

Invo'e &",ecute

FinancialMessage

ate.ay%orrespondent

an' Relations+ipManage)ent


Invo'e &",ecute

FinancialMessage Analysis



Invo'e &",ecute

%orrespondentan'



Report &#otify

%orrespondentan'


Financial Messageate.ay Invo'e &",ecute

%orrespondentan'



2/880

updateSettle)entService Hand-Off

Hand-Off

Request & Hold



Hand-Off


e,ecute/ay)ent Hand-Off

/osition 0eeping update/osition Hand-Off


read%ustody%usto)er(etails Request & Hold

read/arty(etails Request & Hold

/ay)ent Order e,ecute/ay)entOrder

Settle)ent

(eliveryManage)ent Invo'e &",ecute

%orrespondentan'




Invo'e &",ecute

%orrespondentan'


%orrespondentan' (ata

Manage)entread%orrespondent an'(etails

Report &#otify

%orrespondentan'



Invo'e &",ecute

%orrespondentan'



Report &#otify


Ma'eAnnounce)ent



Invo'e &",ecute

%orrespondentan'


Corporate Event Processin# (Reven,e Income! & A dividend pa"ment is processed


Report &#otify


Ma'eAnnounce)ent

/ay)ent",ecution



Invo'e &",ecute

/ay)ent",ecution


Report &#otify

%orporate "ventHandling

Ma'eAnnounce)ent

%ustodyAd)inistration

Report &#otify


/arty (ataManage)ent

Report &#otify






3/880

%orrespondence create%orrespondence Hand-Off

create#e.(ocu)ent

read/ortfolio/olicies Request & Hold

e,ecuteOrder Hand-Off

Order ",ecution initiate loc'Order

initiateTrade Order ",ecution

Order Allocation initiateAllocation

Order Allocation notify loc'Order(etails Order Allocation Hand-Off

initiateSettle)entO1ligation Order Allocation

e,ecuteSettle)ent



readOrder Request & Hold

readTrade Request & Hold

read%ounterparty Request & Hold

updateTrade

notifyTrade Hand-Off



(ocu)entServices



Hand-Off!Request & Hold

Bloc) Order Settlement & Determine t+e price and allocation of a partial loc) sec,rities tr

Invest)ent/ortfolio /lanning

Report &#otify

Invest)ent/ortfolioManage)ent

OrderManage)ent


Invest)ent/ortfolioManage)ent


OrderManage)ent

Request &Monitor

TradeManage)ent


Request &Monitor


OrderManage)ent


Report &#otify

Settle)entO1ligationManage)ent







Resolve Sec,rities Settlement Disp,te & Ne#otiate disp,ted terms in a sec,rities trade


Invo'e &",ecute



Report &#otify


Ma'eAnnounce)ent

Securities Fails/rocessing

initiateSecuritiesFailsResolution




OrderManage)ent

Report &#otify


TradeManage)ent Report otify Securities Fails/rocessing

%ounterpartyAd)inistration

Report &#otify


TradeManage)ent

Invo'e &",ecute



Trade2/riceReporting

Invo'e &",ecute

TradeManage)ent


4/880

initiateSettle)entO1ligation

e,ecuteSettle)ent

readSu1%ustodianAgree)ent Request & Hold

readSu1%ustodianActivity Request & Hold

Hand-Off

%ontact Routing +andOver%ontact / 3 Operations

Servicing /osition allocate%ontact %ontact Routing

%ontact (ialogue initiate%ontact(ialogue Servicing /osition Request & Hold

aut+enticate%usto)er %ontact (ialogue Request & Hold

read%usto)er%+annelActivity %ontact (ialogue Request & Hold

aut+oriseTransaction %ontact (ialogue Request & Hold

%urrent Account e,ecute oo'ing %ontact (ialogue Request & Hold

read%usto)erAgree)ent Request & Hold

readSales/roductAgree)ent Request & Hold



TradeManage)ent






S, C,stodian Activit" Revie' & Consolidate and revie' activit" 'it+ a s, c,stodian

Su1 %ustodianAgree)ent

Report &#otify

Inter1an'Relations+ipManage)ent

%ustodyAd)inistration

Report &#otify


Su1 %ustodianAgree)ent

updateSu1%ustodianAgree)ent

Invo'e &",ecute


C,stomer C+annel -imit .andlin# & /aintain and limit c,stomer c+annel transaction activit

Invo'e &",ecute

Hand-Off!Request &Monitor

Invo'e &",ecute

Request &Monitor


/artyAut+entication

Invo'e &",ecute

%+annel ActivityAnalysis

Report &#otify

TransactionAut+ori*ation

Invo'e &",ecute

Invo'e &",ecute

C,stomer $it++oldin# a* .andlin# & Derive a c,stomer 'it++oldin# ta* position across m

%usto)erAgree)ent

Report &#otify

%usto)erRelations+ipManage)ent

Sales /roductAgree)ent

Report &#otify



5/880

%usto)er Order iniate%usto)erOrder

read%usto)erActivity %usto)er Order Request & Hold

create#e.(ocu)ent %usto)er Order

%orrespondence create%orrespondence %usto)er Order

notify%usto)erTa,/osition

CARD PROD%C PROCESSING

read%usto)erAgree)ent %ard Facility Request & Hold


/osition 0eeping retrieve%as+AccountHistory %ard Facility Request & Hold

initiate%ard illing %ard Facility

%orrespondence

create#e.(ocu)ent

%orrespondence notify%orrespondenceReceipt




%usto)er Ta,/osition

Report &#otify

(ocu)entServices Initiali*e &Register Hand-Off!Request & Hold



%usto)er Ta,/osition

Report &#otify

Regulatory%o)pliance

Ma'eAnnounce)ent

Card Billin# C"cle & Process a mont+l" card invoice and pa"ment c"cle

%usto)erAgree)ent

Report &#otify

Sales /roduct

Agree)ent

Report &

#otify

%usto)er

Agree)entReport &#otify

%ard illing &/ay)ents


Request &Monitor

create%orrespondenceWit+Response



Request &Monitor

(ocu)entServices




Report &#otify

%+eque/rocessing

Ma'eAnnounce)ent


6/880

notify%+eque/ay)entReceipt

/ay)ent Order initiate/ay)entOrder

%ard Facility notify%ard/ay)ent

%ontact Routing passT+roug+SelfService

Servicing /osition allocateAuto)ated%ontact %ontact Routing

%ontact (ialogue Servicing /osition Request & Hold

To'en Trac'ing readTo'enStatus %ontact (ialogue Request & Hold

%ard Facility initiate%ard/ay)ent %ontact (ialogue Request & Hold

aut+enticate%usto)er %ard Facility Request & Hold

%ard Facility Request & Hold

aut+oriseTransaction %ard Facility Request & Hold

%ard Aut+ori*ation aut+orise%ardTransaction %ard Facility Request & Hold

%ard %apture e,ecute%ard/ay)ent %ard Facility Request & Hold

query/arty(etails Request & Hold


Report &#otify

%+eque/rocessing

Ma'eAnnounce)ent




Report &#otify


Ma'eAnnounce)ent

Card %se A,t+ori0ation & Process a card pa"ment a,t+ori0ation and transaction capt,re

Invo'e &",ecute

ATM #et.or'Operations


Invo'e &",ecute

Request &Monitor

initiateAuto)ated%ontact(ialogue

Initiali*e &RegisterReport &#otifyInvo'e &",ecute

/artyAut+entication

Invo'e &",ecute

%usto)er Access"ntitle)ent

read%usto)er%+annelAccess"ntitle)ent

Report &#otify


Invo'e &",ecute

Invo'e &",ecute

Invo'e &",ecute

Ne' C,stomer Set,p & Set ,p a ne' c,stomer record


Report &#otify

OfferManage)ent

%usto)er %reditRating

request",ternal%usto)er%reditReport

Invo'e &",ecute

OfferManage)ent

Request & Hold!Request &Monitor


7/880

c+ec'4alid5ocation

c+ec'Watc+5ist

create#e.(ocu)ent

initiate%usto)erAgree)ent Request & Hold

initiate#e./arty


Request & Hold


Request & Hold

create#e.(ocu)ent

%ard Facility initiate#e.%ardFacility Request & Hold

/osition 0eeping setup/osition0eeping %ard Facility Request & Hold

To'en Inventory issueTo'en %ard Facility Request & Hold

%orrespondence create%orrespondence %ard Facility

read%usto)erAgree)ent %ontact (ialogue Request & Hold

readSales/roductAgree)ent %ontact (ialogue Request & Hold

5ocation (ataManage)ent

Invo'e &",ecute

OfferManage)ent



Invo'e &",ecute

OfferManage)ent


(ocu)entServices


OfferManage)ent


%usto)erAgree)ent Initiali*e &Register OfferManage)ent/arty (ataManage)ent


OfferManage)ent


Ne' Card Set,p & Process a ne' c,stomer card application


Report &#otify

OfferManage)ent


read%usto)er%reditAssess)ent

Report &#otify

OfferManage)ent

%usto)erAgree)ent

Report &#otify

OfferManage)ent


initiateSales/roductAgree)ent


OfferManage)ent

(ocu)entServices





OfferManage)ent

Initiali*e &RegisterInitiali*e &Register



Disp,ted Card ransaction & C,stomer disp,tes a card transaction1 merc+ant doc,ments pr

%usto)erAgree)ent Report otify


Report &#otify


8/880

%ard Facility read%ardFacilityState)ent %ontact (ialogue Request & Hold


%ard %ase initiate%ard%ase %ontact (ialogue

/ay)ent Order initiate/ay)entOrder %ard %ase

%orrespondence create%orrespondence %ard %ase

requestMerc+ant(ocu)ents %ard %ase

/ay)ent Order initiate/ay)entOrder %ard %ase

%orrespondence create%orrespondence %ard %ase

create#e.(ocu)ent %ard %ase

CORPORA E BANKING


initiateReconciliation

readFinancial5edger Request & Hold

/osition 0eeping retrieve%as+AccountHistory Request & Hold


Report &#otify

Report otifyInitiali*e &Register






Merc+ant

Relations

Invo'e &

",ecute

Request &

MonitorInitiali*e &Register




(ocu)entServices



Acco,nt Reconciliation and Balance Reportin# & A an) reconciles its correspondent an)in


Report &#otify


Ma'eAnnounce)ent

AccountReconciliation




FinancialAccounting

Report &#otify


Report &#otify



sendSWIFTMessageWit+Reponse

Invo'e &",ecute




Report &#otify


Ma'eAnnounce)ent


9/880

updateReconciliation Hand-Off


%orrespondence

%+eque /rocessing

%orrespondence

%+eque /rocessing

%+eque /rocessing initiate%+eque/rocessing %+eque 5oc' o,




e,ecute/ay)ent /ay)ent Order Hand-Off



Invo'e &",ecute


Invo'e &",ecute


Positive Pa" C+ec) Processin# & A corporate implements a positive pa" arran#ement 'it+ a

notifyIn1ound%orrespondence

Report &#otify

%as+Manage)ent &Account Services

Ma'eAnnounce)ent

provide%+eque%onfir)ation(etails

Invo'e &",ecute


Request &Monitor




Request &Monitor

provideRe6ected%+eque(etails

Invo'e &",ecute


Request &Monitor

C+e2,e -oc) Bo* Processin# & A an) processes loc) o* c+e2,e pa"ments for a lar#e corpInitiali*e &Register



Invo'e &",ecute

%+eque/rocessing

Financial Message

ate.ay

Report &

#otify

%orrespondent

an' Fulfill)ent

Ma'e

Announce)entInitiali*e &Register



/ay)ent",ecution


Invo'e &",ecute

/ay)ent",ecution


10/880

%+eque /rocessing


%orrespondence create%orrespondence

initiate",pertSupport

/u1lic Offering initiate/u1licOffering


requestSpecialistResource

illing Services create ill

initiateM&AAdvisory/ro6ect



notify%orrespondentTransaction

Report &#otify


Ma'eAnnounce)ent


%+eque/rocessing



%+eque/rocessing


Strate#ic F,ndin# Anal"sis & A corporate o tains strate#ic f,ndin# anal"sis and initiates de

%orporate FinanceServices

initiate%orporateFinance/ro6ect




/roduct ",pertSales Support


%orporateFinance Services

Request &Monitor



Request &Monitor

a* Position Plannin# & A corporate receives financin# advice to mana#e its ta* commitme

%orporate Ta,Advisory Services

initiate%orporateTa,Advisory/ro6ect






%orporate Ta,AdvisoryServices

Request &Monitor

SpecialistResources





%orporate Ta,AdvisoryServices


/3A Advisor" Services & A corporate c,stomer is provided 'it+ /3A advice for a potential

M&A AdvisoryServices







Request &Monitor

SpecialistResources




Financial Mar'etResearc+

initiateMar'etResearc+Request



Request &Monitor


11/880

initiateMar'etAnalysisRequest

illing Services create ill


/rivate /lace)ent

initiateI/OAdvisory/ro6ect


initiateMar'etAnalysisRequest

/u1lic Offering initiateInitial/u1licOffering

"%M2(%M initate"%M2(%MTransaction /u1lic Offering

%orrespondence /ro6ect Financing

%orrespondence notify%orrespondenceReceipt /ro6ect Financing

Financial Mar'etAnalysis



Request &Monitor




Private Placement & F,ndin# for a lar#e corporate is arran#ed t+ro,#+ a private placement


initiate%orporateFinance/ro6ect







Request &Monitor

initiate/rivate/lace)ent/ro6ect



Request &Monitor

Initial P, lic Offerin# & An IPO is str,ct,red to ta)e t+e compan" p, lic








Request &Monitor

Financial Mar'etResearc+

initiateMar'etResearc+Request



Request &Monitor

Financial Mar'etAnalysis



Request &Monitor



Request &Monitor



Pro4ect financin# & A an) prices and sets ,p pro4ect financin# for a corporate c,stomer




Report &#otify

Ma'eAnnounce)ent


12/880

Offer Manage)ent createOffer /ro6ect Financing


Request & Hold

read%ollateral/osition Request & Hold

7nder.riting initiate7nder.riting(ecision

approveTransactionFor%redit

create#e.(ocu)ent

%orrespondence create%orrespondence /ro6ect Financing Hand-Off

SA-ES 3 SER5ICING


capture5ead2Opportunity %ontact (ialogue

ro'ered /roduct



%usto)erAgree)ent

Report &#otify

OfferManage)ent



Report &#otify

OfferManage)ent

%ollateralManage)ent

Report &#otify

OfferManage)ent


initiateStructuredFinance/ro6ect


OfferManage)ent

Request &Monitor


OfferManage)ent

Request &Monitor

5i)it & ",posureManage)ent

approveTransactionFor5i)it&",posure


OfferManage)ent


%reditManage)ent


OfferManage)ent


(ocu)entServices


OfferManage)ent



Bro)ered Propert" Ins,rance & A ranc+ provides access to ro)ered ins,rance services toInitiali*e &Register

5ead2OpportunityManage)ent



notify ro'ered/roduct5ead2Opportunity

Report &#otify


Request &Monitor


13/880

read%usto)erAgree)ent ro'ered /roduct Request & Hold

ro'ered /roduct Request & Hold

ro'ered /roduct

read%o))issionAgree)ent ro'ered /roduct Request & Hold

read%o))issionTransaction ro'ered /roduct Request & Hold

/ay)ent Order initiate/ay)entOrder ro'ered /roduct


aut+enticate%usto)er %ontact (ialogue Request & Hold

aut+oriseTransaction %ontact (ialogue Request & Hold

read%usto)erAgree)ent %ontact (ialogue Request & Hold

readSales/roductAgree)ent %ontact (ialogue Request & Hold

%usto)erAgree)ent Report otify


initiateSales/roductAgree)ent


%o))issionTransaction

initiate%o))issionTransaction



Bro)ered Commission Pa"ment & A ro)er6s commission is calc,lated and paid (periodicall

%o))issionAgree)ent

Report &#otify

%o))issionTransaction

Report &#otifyInitiali*e &Register


Card C+ar#e Disp,te & A card c,stomer calls in to claim a pa"ment made is not reflected onInitiali*e &Register

/artyAut+entication

Invo'e &",ecute


Invo'e &",ecute

%usto)erAgree)ent

Report &#otify


Report &#otify


14/880

get%usto)er"ventSu))ary %ontact (ialogue Request & Hold

%ard Facility read%ardFacilityState)ent %ontact (ialogue Request & Hold


%ard %ase initiate%ard%ase %ontact (ialogue

create%usto)er"vent %ontact (ialogue

read%aseResolutionAnalysis

readServicingActivity

readService"ventHistory

%ard %ase read%ard%ase Request & Hold

/roduct (esign request/roduct"n+ance)ent

read/arty/ortfolioAnalysis

read%o)petitorAnalysis Request & Hold

%usto)er "vent

History

Report &

#otify

Report &#otifyReport &#otifyInitiali*e &Register


%usto)er "ventHistory



Card Case Anal"sis & +e ma)e&,p of card case activit" is anal"0ed%ase ResolutionAnalysis

Report &#otify

%aseManage)ent

Request &Monitor

Servicing ActivityAnalysis

Report &#otify

%ase ResolutionAnalysis

Request &Monitor

Service "ventHistory

Report &#otify


Request &Monitor

Report &#otify


Invo'e &",ecute



C,stomer Campai#n Development & A c,stomer ,p&sell campai#n is developed


Report &#otify

%usto)er%a)paignManage)ent


%o)petitorAnalysis

Report &#otify



15/880

%usto)er Surveys read%usto)erSurveyResults Request & Hold

/roduct (esign retrieve/roduct(esign Request & Hold

Interactive Help updateInteractiveHelpTe,t

initiate%usto)er%a)paign


/arty /rofile update/arty/rofile Hand-Off

/arty /rofile retrieve/arty/fofile %ontact (ialogue Request & Hold

InteractiveHelp requestInteractiveHelp %ontact (ialogue Request & Hold

c+ec'%usto)er"ligi1ility %ontact (ialogue Request & Hold

%ontact (ialogue

Report &#otify


%usto)er

%a)paign (esign

initiate%usto)er%a)paign(e

sign

Initiali*e &

Register

%usto)er%a)paign

Manage)ent

Hand-Off!Request &

Monitor

Report &#otify

%usto)er%a)paign (esign

Invo'e &",ecute

%usto)er%a)paign (esign


%usto)er%a)paign",ecution




C,stomer Campai#n E*ec,tion & A c,stomer ,p&sell campai#n is carried o,t


Report &#otify


Invo'e &",ecute


Report &#otify

Report &#otify

%usto)er"ligi1ility

Invo'e &",ecute


c+ec'RegulatorySuita1ilityRequire)ent

Invo'e &",ecute



16/880

Offer Manage)ent initiateOffer %ontact (ialogue

update%usto)er%a)paign %ontact (ialogue Hand-Off

%usto)er Order initiate%usto)erOrder %ontact (ialogue

read%usto)erAgree)ent %usto)er Order Request & Hold

c+ec'4alid5ocation %usto)er Order

c+ec'%usto)er"ligi1ility %usto)er Order Request & Hold

capture5ead2Opportunity %usto)er Order

%orrespondence %usto)er Order




Invo'e &",ecute

C,stomer C+an#e Of Address & A ranc+ c,stomer calls t+e contact center to notif" t+at t+



%usto)erAgree)ent

Report &#otify


Invo'e &",ecute


%usto)er"ligi1ility

Invo'e &",ecute






Request &Monitor


17/880

%orrespondence notify%orrespondenceReceipt %usto)er Order

create#e.(ocu)ent %usto)er Order

update/arty(etails %usto)er Order

issue/roductInventory

%orrespondence


c+ec'4alid5ocation

capture/rospect

initiate#e./arty


c+ec'(o#ot%all5ist

c+ec'4alid5ocation

Report &#otify

Ma'eAnnounce)ent

(ocu)entServices




Invo'e &",ecute


a)e One Campai#n & a)e&one roc+,res are sent to merc+ants and prospects capt,red

/roduct InventoryIte) Manage)ent

Invo'e &",ecute

/rospect%a)paign",ecution


/roduct Inventory(istri1ution

initiate/roductInventory(istri1ution


/roductInventory Ite)Manage)ent


notifyIn1ound%orrespondence

Report &#otify


Ma'eAnnounce)ent


Report &#otify



Invo'e &",ecute




request",ternal%usto)er%reditReport

Invo'e &",ecute



/rospectManage)ent








Campai#n Prospects are pre&c+ec)ed for solicitation & Prospects are c+ec)ed efore solicit


Report &#otify



Invo'e &",ecute




Invo'e &",ecute




18/880

c+ec'RegulatoryRequire)ent

initiate#e./arty

requestServicingResources Request & Hold

%ontact (ialogue Servicing /osition Request & Hold

read/rospect %ontact (ialogue Request & Hold

read/arty(etails %ontact (ialogue Request & Hold

%ontact Routing initiateOut1ound%ontact %ontact (ialogue Request & Hold

/ 3 Operations initiateOut1ound%all %ontact Routing Request & Hold

Offer Manage)ent createOffer %ontact (ialogue

update/rospect%a)paign %ontact (ialogue


%ontact (ialogue Request & Hold




Invo'e &",ecute



/arty (ataManage)ent Initiali*e &Register

/rospect

%a)paign",ecution Hand-Off!Request & HoldProspects are /ade Offers & Prospects from a campai#n are contacted to initiate t+e offer

%all %enterOperations

Invo'e &",ecute

/rospect%a)paignManage)ent

initiateOut1ound%ontactSession


/rospectManage)ent

Report &#otify


Report &#otifyInvo'e &",ecuteInvo'e &",ecute



/rospect%a)apaign",ecution

Invo'e &",ecute


Sales Reso,rce Allocation & Prod,ct specialists are allocated to corporate c,stomers for int

Report &#otify


accessOn-5ine%usto)er%a)paign

Invo'e &",ecute

%usto)erAgree)ent

Report &#otify





Request &Monitor


19/880


%orrespondence create%orrespondence



%usto)er %ase initiate%usto)er%ase %ontact (ialogue Request & Hold

create%usto)er"vent %ontact (ialogue

Servicing Issue initiateServicingIssue %ontact (ialogue

createService"vent %ontact (ialogue

RADE FINANCE



SpecialistResources




ranc+ 5ocationOperations

initiate5ocationOperationalRequest







Servicin# Iss,e .andlin# & A call center rep raises a servicin# iss,e relatin# to a c,stomer

Initiali*e &RegisterReport &#otify







Service "ventHistory



Ban) G,arantee & A an) #,arantee is priced and iss,ed for a trade finance c,stomer

%usto)erAgree)ent

Report &#otify

OfferManage)ent


Report &#otify

OfferManage)ent


20/880

an' uarantee query an' uarantee Request & Hold

5egal Assurance request5egalRevie.

Request & Hold



an' uarantee initiate an' uarantee Hand-Off

%orrespondence an' uarantee

%orrespondence notify%orrespondenceReceipt an' uarantee

create#e.(ocu)ent an' uarantee

Offer Manage)ent createOffer %redit Facility


Request & Hold

read%ollateral/osition Request & Hold

Report &#otify

OfferManage)ent


OfferManage)ent

Request &Monitor

%usto)er %reditRating read%usto)er%reditAssess)ent Report otify OfferManage)ent


Invo'e &",ecute

OfferManage)ent


%reditManage)ent


OfferManage)ent


Initiali*e &

Register

Offer

Manage)ent




Report &#otify

Ma'eAnnounce)ent

(ocu)entServices



rade Finance Credit Facilit" & A corporate ne#otiates a credit facilit" for a period



%usto)er

Agree)ent

Report &

#otify

Offer

Manage)ent%usto)er %reditRating


Report &#otify

OfferManage)ent

%ollateralManage)ent

Report &#otify

OfferManage)ent


21/880

7nder.riting initiate7nder.riting(ecision


create#e.(ocu)ent

%orrespondence create%orrespondence %redit Facility



5etter of %redit query5etterOf%redit Request & Hold

Request & Hold



5etter of %redit initiate5etterOf%redit Hand-Off


OfferManage)ent

Request &Monitor

5i)it & ",posureManage)ent approveTransactionFor5i)it&",posure Initiali*e &Register OfferManage)ent

Request & Hold!

Request &Monitor

%reditManage)ent


OfferManage)ent


(ocu)entServices


OfferManage)ent




-etter of Credit Iss,ance & A an) raises a letter of credit for a trade finance c,stomer

%usto)erAgree)ent

Report &#otify

OfferManage)ent


Report &#otify

OfferManage)ent

Report &#otify

OfferManage)ent



Report &#otify

OfferManage)ent


Invo'e &",ecute

OfferManage)ent


%reditManage)ent Initiali*e &Register OfferManage)ent

Request & Hold!

Request &Monitor


OfferManage)ent


22/880

%orrespondence 5etter of %redit

%orrespondence notify%orrespondenceReceipt 5etter of %redit

create#e.(ocu)ent 5etter of %redit

%orrespondence notify%orrespondenceReceipt

create#e.(ocu)ent

%redit Facility e,ecute%reditFacility/ay)ent


/ISCE--ANEO%S

initiate usiness7nitRevie. Financial %ontrol

read usiness7nit udget




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Ma'eAnnounce)ent

(ocu)entServices



rade Finance Services & A an) processes international trade finance transactions for a co

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Trade FianceServices

Ma'eAnnounce)ent

(ocu)entServices


OfferManage)ent


Invo'e &",ecute






B,siness %nit Financial Anal"sis & A ,siness ,nit6s mana#ement revie's performance

usiness 7nitManage)ent


Request &Monitor

usiness 7nitudget

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Request &Monitor

usiness 7nitFinancial Analysis

read usiness7nitFinancialAnalysis

Report &#otify


Request &Monitor


23/880

read usiness7nit8ournal

read/roduct8ournal

update usiness7nit udget Financial %ontrol

update usiness7nit udget Hand-Off Financial Compliance 8 Financial Control ens,res compliance " a ,siness ,nit

Financial %ontrol Internal Audit

initiate usiness7nitRevie. Financial %ontrol



Financial %ontrol

usiness 7nitAccounting

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usinss 7nitFiancial Analysis

Request &Monitor

FinancialAccounting

Report &#otify


Request &Monitor



Request &Monitor

usiness 7nitudget

Invo'e &",ecute


initiate usiness7nitFinancialAssess)ent


Request &Monitor



Request &Monitor

usiness 7nitudget

Report &#otify


Request &Monitor

usiness 7nitFinancial Analysis

read usiness7nitFinancialAnalysis

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Request &Monitor


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Request &Monitor

Financial%o)pliance

Resolution

initiateFinancial%o)plianceTa

s'

Initiali*e &

Register

Request &

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update usiness7nitOperating/lan

Invo'e &",ecute

Financial%o)plianceResolution

Request &Monitor


24/880

Financial Statements 8 Finance assem les t+e "ear&end financial statements for t+e ann,al

Financial %ontrol

Financial %ontrol


e,ecuteFinancialAudit Financial %ontrol

e,ecuteRegulatoryReporting Financial %ontrol

e,ecuteAnnualReporta* Administration 8 Finance revie's t+e enterprise ta* position and ad4,sts ,siness ,nit

readFinancialState)ents

read/roduct8ournal



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update usiness7nitFinancialOperating/lan

Invo'e &",ecute


Request &Monitor

e,ecute9ear"ndFinancialReporting

Invo'e &",ecute

%orporateStrategy

Request &Monitor

FinancialState)ents

e,ecute9ear"ndFinancialState)ents

Invo'e &",ecute

Request &Monitor


Report &#otify

FinancialState)ents

Request &Monitor

Regulatory & 5egalAut+ority

Invo'e &",ecute

Request &Monitor

RegulatoryReporting

Invo'e &",ecute

Request &Monitor

%orporate%o))unications

Invo'e &",ecute

%orporateStrategy

Request &Monitor

FinancialState)ents

Report &#otify

Ta,Ad)inistration

Request &Monitor

FinancialAccounting

Report &#otify

FinancialState)ents

Request &Monitor

usiness 7nitudget

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Ta,Ad)inistration

Request &Monitor


Report &#otify

usiness 7nitudget

Request &Monitor


25/880

update usiness7nit udget Hand-Off

Re'ard Point Remittance 8 A c,stomer redeems re'ard points


%ontact (ialogue Request & Hold

readRe.ard/ointsAccount Request & Hold

Request & Hold

/ay)ent Order initiate/ay)entOrderFinancial Acco,ntin# 8 Prod,ct f,lfillment oo)s transaction at t+e end of da"

/osition 0eeping retrieve%as+AccountHistory 5oan Request & Hold

postFinancialAccount 5oan Request & Hold

/osition 0eeping update%as+Account 5oan Request & Hold

/erc+andisin# -oan Ori#inationOffer Manage)ent InitiateOffer %ontact (ialogue



Read(ocu)ents Request & Hold

Request & Hold


e,ecuteTa,Opti)i*ationService

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Request &Monitor

usiness 7nitudget

Invo'e &",ecute

Ta,Ad)inistration


Re.ard /ointsAd)inistration

e,ecuteRe.ard/ointsRe)ittance

Invo'e &",ecute

Re.ard /ointsAccount

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/roduct ro'erAgree)ent

initiate ro'erRe.ard/oint(elivery

Invo'e &",ecute





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FinancialAccounting

Invo'e &",ecute

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update usiness7nitAccounting

Invo'e &",ecute

FinancialAccounting





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OfferManage)ent

/arty (ata

Manage)ent

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#otify

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Manage)ent

(ocu)entServices

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OfferManage)ent


%reateSales/roductAgree)ent


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26/880

Request & Hold

7nder.riting Request & Hold

7pdateTreasury/osition Request & Hold

Request & Hold

Request & Hold

%orrespondence

Store(ocu)ents Hand-Off

Hand-Off

Set ,p Fid,ciar" -endin# A#reementOffer Manage)ent InitiateOffer %ontact (ialogue

Sales /roduct /rovide/roduct(etails Request & Hold


Request & Hold


%orrespondence at+er(ocu)entation


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Request & Hold

uideline%o)pliance

/rovide%o)pliance uidelines

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OfferManage)ent

/rovide7nder.riting(ecision

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OfferManage)ent

TreasuryAd)inistration

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OfferManage)ent


/rovideRegulatory%o)pliance uidelines

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OfferManage)ent

uideline%o)pliance

Assess uideline%o)pliance

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OfferManage)ent

%orrespondenceWit+Response


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Request &Monitor

(ocu)entServices


OfferManage)ent


7pdateSales/roductAgree)ent


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OfferManage)ent


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OfferManage)ent


/rovideSales/roductAgree)ent

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OfferManage)ent

(ocu)entServices

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OfferManage)ent


OfferManage)ent

Request &Monitor

(ocu)entServices


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OfferManage)ent

uideline%o)pliance


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OfferManage)ent


27/880


7pdateTreasury/osition Hand-Off

5oan %apture 5oan Hand-Off

%orrespondence


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Request & Hold

5oan %reate5oan

/osition 0eeping %reate%as+Account 5oan Request & Hold

5oan 7pdate5oan

Request & Hold

/ay)ent Order Initiate/ay)entOrder 5oan

-etter of Credit Ori#inationRequest & Hold


5etter of %redit query5etterOf%redit Request & Hold

Request & Hold

Request & Hold


5etter of %redit %reate5etterOf%redit Hand-Off


Initiali*e &",ecute

OfferManage)ent


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OfferManage)ent

Initiate &Register

OfferManage)ent

%orrespondenceWit+Response


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(ocu)entServices


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OfferManage)ent

uideline%o)pliance


Initiali*e &",ecute

OfferManage)entOfferManage)ent

Request &Monitor

Initiate &Register

Initiate &Register

OfferManage)ent

Request &Monitor


7pdateSales/roductAgree)ent

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OfferManage)ent

Initiate &Register


ReadSales/roductAgree)ent


OfferManage)ent


Report &#otify

OfferManage)ent

Report &#otify

OfferManage)ent



Report &#otify

OfferManage)ent



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OfferManage)ent

%reditManage)ent


OfferManage)ent



OfferManage)ent


28/880

%orrespondence 5etter of %redit

create#e.(ocu)ent 5etter of %redit

Ne#ociate /erc+andisin# -oan Frame ContractOffer Manage)ent InitiateOffer %ontact (ialogue

Sales /roduct /rovide/roduct(etails Request & Hold



Request & Hold


7pdateTreasury/osition Hand-Off

Request & Hold

Request & Hold

%orrespondence


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(ocu)ent

Services

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OfferManage)ent


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OfferManage)ent

(ocu)entServices

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OfferManage)ent

ro'ered/roduct

%reate ro'ered/roductAgree)ent


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uideline%o)pliance


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OfferManage)ent


Initiali*e &",ecute

OfferManage)ent


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OfferManage)ent



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uideline%o)pliance


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%orrespondenceWit+Respo

nse

Initiali*e &

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Request &

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(ocu)entServices


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ro'ered/roduct

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Reqest &Monitor


29/880

an' uarantee Register%lai) %ontact (ialogue

Store(ocu)ents an' uarantee Hand-Off

query/arty(etails an' uarantee Request & Hold

initiate#e./arty an' uarantee Request & Hold

an' uarantee Request & Hold

/ay)ent Order Initiate/ay)entOrder an' uarantee Hand-Off

Revie.Rating an' uarantee Hand-Off

7pdate%usto)erHistory an' uarantee Hand-Off

7pdated%usto)erHistory an' uarantee Hand-Off

%reateOpenIte) an' uarantee

Syndicated 5oan SetupSyndicated5oan

/osition 0eeping Request & Hold

File5oan Hand-Off

/ay)ent Order Initiate/ay)entOrder

A erm Deposit acco,nt comes to mat,rit"

e,ecute/ay)entTransaction (eposit Account Hand-Off

/osition 0eeping create(e1itTransactionRecord Request & Hold

(eposit Account query(epositAccount /osition 0eeping Request & Hold


%urrent Account query%urrentAccount /osition 0eeping Request & Hold



(ocu)entServices



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/rovideSales/roductAgree)ent

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Initiate &Register


Initiali*e &",ecute

%redit AgencyServiceOperations

Initiali*e &",ecute

%onsolidated%usto)erActivity

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Open Ite)Manage)ent

Initiate &Register


Set,p S"ndicated -oan F,lfilment Initiate &

RegisterOfferManage)ent

Request &Monitor

SetupSupportingAccounting%apa1ilities

Initiate &Register

Syndicated5oan

%redit AgencyServiceOperations

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Syndicated5oan

Initiate &Register

Syndicated5oan

Request &Monitor

/ay)ent",ecution


/ay)ent",ecution

Report &#otify

create%reditTransactionRecord


/ay)ent",ecution

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30/880

/osition 0eeping Hand-Off

%orrespondence (eposit Account Request & HoldA 'al) in individ,al comes at a ranc+ to ," cas+ forei#n c,rrenc" 'it+ ase cas+ c,rren

Servicing /osition processInco)ing%usto)er Request & Hold

%ontact (ialogue capture%usto)er#eeds Servicing /osition Request & Hold

/roduct Matc+ing c+ec'/roductMatc+ Servicing /osition Request & Hold

%ontact (ialogue updateRe)ittanceA)ount Servicing /osition Request & Hold

c+ec'%o)plianceRules Servicing /osition Request & Hold

%ontact (ialogue e,ecute%o)plianceRules Servicing /osition Request & Hold

Servicing /osition Request & Hold

retrieveRate4alue Servicing /osition Request & Hold

Servicing /osition createTransaction(etails Servicing /osition Request & Hold

%ontact (ialogue notifyTransaction(etails Servicing /osition Request & Hold

Servicing /osition e,ecuteAut+orisationRules Servicing /osition Request & Hold

Servicing /osition updateTill8ournal Servicing /osition Request & Hold

e,ecute/ay)entTransaction Servicing /osition Request & Hold




e,ecute usiness7nitAccountingTransaction


create%orrespondenceRequest


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ranc+ 5ocationoperations


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Invo'e &",ecute

%o)pliance%+ec's

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/roduct and/ricing

retrieve/roductTer)s%onditions

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%urrency",c+ange

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Invo'e &",ecute

Invo'e &",ecute

/ay)ent

",ecution

Initiali*e &

Register



/ay)ent",ecution



/ay)ent",ecution


31/880

/osition 0eeping create(e1itTransactionRecord Request & Hold

%orrespondence Servicing /osition Request & Hold

%ontact (ialogue close%ontact(ialogue Servicing /osition Hand-Off

9a Co,nterpart" ris) mana#ement & radin# activit" p,s+es t+e collective position for a ma

c+ec'%ounterparty/osition

%ounterparty Ris'%redit Ris' Models read%reditRis'Model Request & Hold

e,ecuteTransaction Hand-Off

initiate/ay)ent Hand-Off

update%ounterpartyAccount9 Co,nterpart" ris) mana#ement1 limit reac+ & radin# activit" p,s+es t+e collective pos

c+ec'%ounterparty/osition

%ounterparty Ris'%redit Ris' Models read%reditRis'Model Request & Hold

Hand-Off ; Re#,lator" Compliance & Ad +oc&compliance&c+ec)s are defined and esta lis+ed: For eac

updateRuleset Request & Hold

c+ec'/arty /ay)ent Order Hand-Off


provide%ounterpartyIssues Hand-Off


/ay)ent",ecution

create%orrespondenceRequest

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",ecute

/ositionManage)ent

Invo'e &",ecute

TradeManage)ent

Request &Monitor

c+ec'/osition%ounterpartyRis'

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/ositionManage)ent

Request &MonitorReport &

#otify%ounterpartyRis'

%learing &Settle)ent


TradeManage)ent

/ay)ent",ecution


%learing &Settle)ent%as+ Manage)ent

& AccountServices

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/ositionManage)ent

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TradeManage)ent

Request &Monitor

c+ec'/osition%ounterpartyRis'

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/ositionManage)ent

Request &Monitor

Report otify %ounterpartyRis'Trading oo'Oversig+t

update%ounterpartyTradingActivity

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%ounterpartyRis'

%o)pliance%+ec's

Invo'e &",ecute


%o)pliance

%+ec's

Invo'e &

",ecute/arty (ataManage)ent

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%o)pliance%+ec's


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%o)pliance%+ec's

Servicin# Iss,e Anal"sis & Servicin# mana#ement assess servicin# activit" and identifies a


32/880

requestAnalysis

read"ventHistory

/roduct (esign request/roduct%+ange Hand-Off

c+ec'/ortfolioSecuriti*ation Hand-Off

query/ortfolio(etails

request/ortfolioSecuriti*ation Hand-Off

Hand-Off Fra,d detection & Anal"sis of a pa"ment order levera#in# e*istin# Fra,d /odels

e,ecute%o)pliance%+ec's /ay)ent Order Hand-Off

Fraud (etection e,ecuteFraud(etection Hand-Off

e,ecuteFraudAM5Resolution Fraud (etection Hand-Off

aut+orise/ay)ent",ecution Hand-Off

Fraud Models updateFraudModels Hand-Off

Fraud (etection updateFraudModels Fraud Models Hand-Off

E&Branc+< C,stomer lo#s into t+e E&Branc+ to c+ec) alance and transfer f,nds

processIn1ound%ontact :custo)er: Request & Hold

%ontact Routing route%ontactToResource Hand-Off

%ontact (ialogue +andle%ontact %ontact Routing Hand-Off

Servicing ActivityAnalysis

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%all %enterManage)ent

Request &Monitor

Servicing "vent

History

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#otify

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Analysis

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%all %enterManage)ent

Asset Sec,riti0ation & reas,r" /ana#ement initiates sec,rit0ation of selected loansAssetSecuriti*ation

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TreasuryManage)ent

an' /ortfolioAnalysis

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AssetSecuriti*ation

Request &Monitor

TreasuryManage)ent

Invo'e &",ecute

AssetSecuriti*ation

AssetSecuriti*ation

aut+orise/ortfolioSecuriti*ation

Invo'e &",ecute

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%o)pliance%+ec's


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Fraud AM5Resolution


/ay)ent",ecution

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Fraud AM5Resolution

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Fraud AM5Resolution

Invo'e &",ecute

"- ranc+Operations

Invo'e &",ecuteInvo'e &",ecute

"- ranc+Operations

Invo'e &",ecute


33/880

aut+enticate7ser %ontact (ialogue Request & Hold

getAccess"ntitle)ents %ontact (ialogue Request & Hold

aut+ori*eAction %ontact (ialogue Request & Hold

%urrent Account getAccount alance %ontact (ialogue Request & Hold


aut+enticate7ser %ontact (ialogue Request & Hold


%urrent Account transferFunds %ontact (ialogue Request & Hold

%orrespondence create%orrespondence %urrent Account

create%usto)er"vent5og %ontact (ialogue

%ontact Routing infor)%ontactFinis+ed %ontact (ialogue Hand-Off

createService"vent5og %ontact RoutingCas+ /ovements & +e .ead Office re2,est at EOD eac+ Branc+ to provide t+e alances of

ranc+ /ortfolio #otification

Servicing /osition %ontact (ialogue

Servicing /osition

Hand-Off

(eliver2collect cas+2currency Hand-Off

(eliver2collect cas+2currency

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Servicing /osition

/artyAut+entication

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%usto)er /roduct%overage

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Transaction

Aut+ori*ation

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",ecuteInvo'e &",ecute


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/artyAut+entication

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initiate"O(Servicing/ositionalance at+ering

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get"O(Servicing/osition alance

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report"O(Servicing/osition alance

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Request &Monitor

%as+2%urrencyInventory

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ranc+ 5ocationOperations Invo'e &",ecute ranc+ %urrency(istri1ution Request &Monitor

Invo'e &",ecute


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reportOn(eliver2collectcas+2currency

Report &#otify

Request &Monitor


34/880

%reateServicing"vent #otification

%ontact Routing assigneResource Hand-Off

%ontact (ialogue identify%usto)er %ontact Routing Hand-Off

identify%usto)er %ontact (ialogue Request & Hold

%ontact Routing processIn1ound%ontact %ontact (ialogue Hand-Off

Sevicing /osition processIn1ound%ontact %ontact Routing Hand-Off

%ontact (ialogue +andle%ontact Servicing /osition Request & Hold

/arty /rofile getInfor)ation %ontact (ialogue Request & Hold

get%usto)erHistory %ontact (ialogue Request & Hold

%ontact (ialogue log%usto)er(etails Sevicing /osition Request & Hold

Interactive Help get uidence %ontact (ialogue Request & Hold

%urrent Account getAccount(etails %ontact (ialogue Request & Hold

%ase Manage)ent create%ase %ontact (ialogue Request & Hold

%ontact (ialogue close(ialog Sevicing /osition Request & Hold

createService"ventlog %ontact (ialogue

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Servicin# Iss,e .andlin# & A call center rep raises a servicin# iss,e relatin# to a c,stomer

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4oice ServicesOperations

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%usto)erAut+entication

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Invo'e &",ecute

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35/880

Inp,t ParametersIdentifier Depiction Stat,s Control Anal"sis

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36/880

#

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/ay)entTransaction(etailsA)ount!%urrency!Reference

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37/880

#29

9

9

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38/880

TradeI( Trade(etails #29

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9

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9

9

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4alidFro)(ate!4alidTo(ate

%usto)erAgree)entI(!Sales/roductAgree)entI(



39/880

/artyI(! #29

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9

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Service Operations V3.0Augmented

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Transcript of Service Operations V3.0Augmented