Scott Levine UX Portfolio 2013 by Scott Levine

Scott Levine UX Portfolio 2013

Trade Ticket UI Vision

TradingVision User Interface Documentation

Revised 3/3/2013

Cover

Page 1 of 19

GP Ticket UI Design Cover Buy Ticket Sell Ticket Supplementals Supplementals 2 Suggestive Search Allocation Section Allocation Grid Allocation Validation Fund Selection Configure Groups Configure Groups - Adding a Group Settings Dialog Visual Design - Buy Visual Design - Sell Toolbar

TradingVision | GP Ticket UI Design

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16

TradingVision User Interface Documentation

Revised 3/3/2013

Buy Ticket

Page 2 of 19

TradingVision Trade Ticket Launch settings dialog

Gray out stuff if the security is not set up (acts as indicator that it’s not set up) Derived from Issuer and IV type

Only available for CDs

Default to settlement date, but make it editable

NOVASC BN .22

Buy Print

Audit

Clear Ticket Delete Ticket

Security Information CUSIP

64986MQV0

DTC

64986MQV0

Yield

0.14

Maturity

3/18/2012

Dated Date

1/10/2010

Update

Derived from issuer or program

Country

Canada

Currency

CAD

1,125.0

Dealer

JPM

Type LOC O

Settlement Date

10/22/2011

Spread

.02

T+1

Note

IAM

ACT/365

1,000,000 10mm

Proc

Issuer ID 123456 123456

% 50 50

Field input masks and display formats (if any) are exactly as they are in the current ticket for these fields: Par Amount Yield Maturity Trade Date Dated Date Trader Rounding Inc

Fed Funds

AI Days

Short Name LOREM LOREM

Ability to add reason code for Cancelrebook – in the confirm box?

0 USD (m)

CAD (m)

2,511.40

2,536.75

1,251,107.52

1,263,744.96

362.11

365.76

1,251,143.62

1,263,781.44

Minimum Denom 100,000 Minimum Inc

Include credit enhancements (For ABCP only)

TOR

10/21/2011

Princ Trader Round Inc

Horizon

Credit Exposure

Trade Date

Coupon Accrual Basis

Derived from IV type – ensure it is accurate for Canadian versions of securities, where the accrual basis is ACT/360 for the US version, but ACT/365 for Canadian

NOVASC 64986MQ

IV Type

DES (2)

Ratings

Par Amount (mm)

Branch

Security Details

Suggestive search

Editable if 9-digit CUSIP is not entered

No drop-down

Settings... Trade Information

Not Set Up Set Up

Issuer

Status: Pend

10/13/2012

Note field can be expanded by the user to show more text. When this happens, the AI days content is pushed down, increasing the overall height of the ticket’s content area.

Holdings Credit Enhancements Alt ID

The field can expand down only

1,000 Trade Ownership

Min Denom and Min Inc - Remove completely?

If security is CAD, only show option to choose CAD portfolios

Allocation Allocation My Funds

PM Order Taxable MM

Allocate

Round Robin GP Funds

Rated Funds

Tier 2 Funds

All Funds...

Test Compliance Configure Groups...

Populate STAP by default for CA trade

Selectable Text - Tables of data (such as this Accrued Interest data) should be selectable as a block of text. The trader should be able to drag a selection over that table and copy all of it. If possible, tabs should be added to the text to delimit the columns.

Selectable Text - Read-only text should be selectable (for copying to other applications

Save

Ready | Market:

TradingVision | GP Ticket UI Design

Pend

Execute

| Trade: NONE | Compliance: NOT TESTED | Trade Source: TRADE CAPTURE | Execution Source:

TradingVision User Interface Documentation

Revised 3/3/2013

Sell Ticket

Page 3 of 19

TradingVision Trade Ticket

Sell side indicator

Sell

NOVASC BN .22

Launch Interfund Launch Interfund and Place order buttons work as they do on the curren ticket

CUSIP, DTC, Maturity, Issuer, and Dated Date are not editable on a sell ticket

Security Information CUSIP

Shows the “Set Up” state for a CUSIP. “Set Up” button is disabled.

Place Order

Yield

Audit

64986MQV0

Update

Par Amount (mm)

1,125.0

Dealer

JPM

Branch 0.14

Owned 10/21/2011

Dated Date

1/10/2010

Settlement Date

10/22/2011

IV Type

Coupon

0.03

Accrual Basis

ACT/365

Princ AI

1,000,000 Trader Round Inc 10mm

Proc

0 USD (m)

CAD (m)

2,511.40

2,536.75

1,251,107.52

1,263,744.96

362.11

365.76

1,251,143.62

1,263,781.44

Minimum Denom 100,000 Minimum Inc

Yield %TNA

1,234

0.00

0.02

Lot

234

0.00

0.02

Lot

1,000

0.00

0.02

FND2

2,332

0.00

0.02

FND3

3,223

0.00

0.02

FND2

2,332

0.00

0.02

FND3

3,223

0.00

0.02

Fed Funds

AI Days

IAM

Par

FND1 .02

2,000

Fund

T+1

Canada CAD

10,000

Remainder

Note

Currency

The sell ticket has the Par Totals data in the Holdings section

Par Totals

TOR

Spread

Horizon

Holdings

Trade Date

NOVASC 64986MQ

DES (2)

Credit Exposure

3/18/2012

Issuer

Security Details

Ratings

Maturity

Country

Settings...2

Clear Ticket Delete Ticket

Trade Information

Set Up Set Up DTC

Status: Pend

10/13/2012

Sell

On the sell ticket, the holdings are listed for that security (not issuer, as on the Buy ticket). The user can expand a holding row to display lots The user can check the box to indicate that they want to sell that lot or that entire holding. When checked, the lot (or all lots for a holding, if the holding box is checked) are displayed in the Allocation grid below. If unchecked, it is removed from the Allocation grid

The Holdings section can not be hidden on Sell tickets

Credit Enhancements Alt ID

1,000 Trade Ownership

If the ticket is launched from a specific fund holding on Query Tool (or other application), then that specific holding is prepopulated in this Allocation grid. Otherwise, this grid is empty until the user selected holdings/lots to sell using the Holdings supplemental section above

Allocation Allocation My Funds

Highest Cost

PM Order Taxable MM

GP Funds

Rated Funds

Lowest Cost

Tier 2 Funds

Allocate All Funds...

Test Compliance Configure Groups...

If the user clicks Highest Cost, the system allocates par by taking the highest-cost lots from each of the funds that appear in the Allocation grid, up to the total par entered in the Par Amount (mm) field. Equivalent behavior for the Lowest Cost button.

Save

Ready | Market:

TradingVision | GP Ticket UI Design

Pend

Execute

| Trade: NONE | Compliance: NOT TESTED | Trade Source: TRADE CAPTURE | Execution Source:

TradingVision User Interface Documentation

Revised 3/3/2013

Right-click (double-click) to open in Query Tool

Supplementals Ratings Approval

Approved

M Score

FMR Rating

LOREM

Agency

Long

Ratings

Credit Exposure

Holdings

Credit Enhancements

Alt ID

Muni

Short

Fitch

LOREM

Moody’s

LOREM

S&P

LOREM

Page 4 of 19

Repo

Floor

Fund

Par

%TNA

FND1

1,234

0.02

FND2

2,332

0.02

FND3

3,223

0.02

FND2

2,332

0.02

FND3

3,223

0.02

Type LOC O

Short Name LOREM LOREM

Issuer ID 123456 123456

% 50 50

FMR CUSIP

0000

DTC CUSIP

0000

ISN

0000

BBG Ticker BBG ID SEDOL

Trade Ownership Created by

ABC

0000

Created Date/Time

ABC

0000

Modified By

ABC

0000

Modified Date/Time

ABC

Desk

Horizon Audit

Horizon

Credit Exposure

Query Tool

Holdings

Credit Enhancements

Alt ID

Trade Ownership

Long Term Short Term Outlook Credit Watch - In Horizon under Issuer Information - Security-level ratings are from DMS

TradingVision | GP Ticket UI Design

Holdings at issuer level (not security) – same as in GP Net Room

Will this work for forwarddated trades?

Trade Ownership

Show any identifier associated with the CUSIP in the security reference file

Translate “GP” from “GP_MMKT”

TradingVision User Interface Documentation

Revised 3/3/2013

Supplementals 2

Page 5 of 19

Trade History Trade Totals

History

AI Days

0 USD (m)

IAM Princ

2,511.40 1,251,107.52

362.11

USD (m) SMD SMI

2,536.75 1,263,744.96

CDY 32nds

365.76

Proc

1,251,143.62

1,263,781.44

YTM

XX%

Bills/Notes

YTC

XX%

Discount

Note

The Trade totals bricklet will be the default bricklet for all IV types

Date

Par

Rate

Spread/Fed Funds

Dealer

MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY

XX.XX XX.XX XX.XX XX.XX XX.XX

XX.X XX.X XX.X XX.X XX.X

LOREM LOREM LOREM LOREM LOREM

Date

Par

Rate

Spread/Fed Funds

Dealer

MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY

XX.XX XX.XX XX.XX XX.XX XX.XX

XX.X XX.X XX.X XX.X XX.X

LOREM LOREM LOREM LOREM LOREM

Date

Par

Rate

Spread/Fed Funds

Dealer

MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY MM/DD/YYY

XX.XX XX.XX XX.XX XX.XX XX.XX

XX.X XX.X XX.X XX.X XX.X

LOREM LOREM LOREM LOREM LOREM

Orders

Trade Tracking

Ratings Credit Exposure Holdings

Grey items are security dependent. Some IV types will not use these metrics.

Credit Enhancements Alt ID

Ratings

Trade Ownership

Credit Exposure Holdings Credit Enhancements Alt ID Trade Ownership

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Suggestive Search

Page 6 of 19

Suggestive search displays a table of matches as the user types. The CUSIP field matches against CUSIP, Issuer, and Program

ab|

Issuer ABCDEF ABCDEF ABCDEF ABCDEF

Cusip 123456 123456 123456 123456

Program 123456

IV Type CP CP CP CP

ab|

Issuer ABCDEF ABCDEF ABCDEF ABCDEF

Suggestive search displays a table of matches as the user types. The Issuer field matches against Issuer (short name and long name)

The user can type in a Fund Name cell to add funds individually to the allocation grid. The same suggestive search as the CUSIP field is included for any Fund Name cell. ab|

Issuer ABCDEF ABCDEF ABCDEF ABCDEF

Cusip 123456 123456 123456 123456

Program 123456

TradingVision | GP Ticket UI Design

IV Type CP CP CP CP

TradingVision User Interface Documentation

Revised 3/3/2013

“All Funds” button brings up the All funds Dialog. The dropdown arrow brings a dropdown containing:

Allocation Section

Page 7 of 19

Key Controls: Tab: Moves cursor through editable cell’s from left to right, then down a row.

Emerging Markets Equity FIL Funds FI Funds High Yield Taxable

Selecting PM order mode will add “Order $” and “Order %” columns to the required columns list.

Fund groups. Pressing the button adds all funds in the fund group. Using the dropdown allows the user to select funds from within the fund group. The user may add as many groups as they like. If horizontal space runs out, the buttons will wrap within their area. Fund groups are created using the Configure Groups Dialog

Enter: Moves cursor down a row except in the “Fund Name” column where it brings up a list of funds.

These menu items restrict the fund types available as suggested search in the grid.

Allocation/PM order mode selection.

All Funds

Allocation button changes to Calc Pro Rata when in PM order mode

Ctrl + C = Copy Ctrl + V = Paste Ctrl + X = Cut

Emerging Markets Equity FIL Funds FI Funds High Yield Taxable

Test compliance button

Allocation Trader sets their rounding increment here. Dropdown contains values based on IV type Allocation

My Funds

PM Order

Taxable MM

Allocate

Test Compliance GP Funds

Rated Funds

Trader Rounding Increment Tier 2 Funds

All Funds

100,000,000 Configure Groups ...

The “Configure Groups” button brings up the Configure Groups Dialog

“PM Max” and “De Minimis” cells may be entered as a $ amount or as a %. The grid will calculate the $ amount or % and display it as follows: 120 MM (3%) “Fund Name” column. Selecting this column will give the user a dropdown of funds. The user may also type the fund name or fund number into this column. Column displays fund name and fund number.

The default is assumed to be $. If the user wants to enter a % they will need to type the % symbol. Not editable cells are shaded grey. Tabbing will tab over these cells.

Deleting a fund from this column will delete the entire row. When selecting in the grid, this column gets the initial focus.

TradingVision | GP Ticket UI Design

When the user selects the cell to edit it, the entire cell blanks out. If the user tabs away prior to entering a new dollar mount or %, the previous value will repopulate.

The allocation grid will always show at least one blank line below all the entered funds. The grid will show a minimum of 10 lines within its space.

TradingVision User Interface Documentation

Revised 3/3/2013

Allocation Grid

Page 8 of 19 The ticket should display the following columns in the order given (both Buy and Sell)  Y indicates that the column should be displayed  H indicates that the data should be displayed in a tooltip  N indicates that the column should not be displayed by default

Default Column Display Column

Order

Show

Type

Fund Name

1 Y

Dropdown

Par Amt (MM)

2 Y

Enterable

Principal

3 Y

4 Y

Proceeds

5 Y

PM Max $ (MM)

6 Y

Enterable

PM Max %

7 Y

Enterable

8 Y

Alert #

9 Y

Display as Hover

Enterable Allocation User can drag column headers to re-order columns as on other data grids Allocation

on Fund Name

Alloc % of N/A

on Par Amt (MM)

Pro-Rata%

on Par Amt (MM)

De Minimis $ (MM)

De Minimis %

N N

Order $ (MM)

Order % HLD

US Interest At Maturity

Checkbox

Compl

Lot Selection Code

Enterable

Lot Identifier

Enterable

Holdings Amount (MM)

POT Trade ID

AS/400 Trade Seq #

Fund Type

Applicable Net Assets

POT Status

TradingVision | GP Ticket UI Design

Allocate

PM Order

Test Compliance

Trader Rounding Increment

100,000,000

Change to "Fund #"?

Net Assetts (MM)

State 1%

Comments

My Funds

Taxable MM

%TNA Pro-Rata%

GP Funds

Rated Funds

Tier 2 Funds

All Funds ...

Configure Groups ...

1.05% 23.43%

The user has the option to right-click the column header and “Choose Columns” as on any other data grid. They can choose to display any of the columns shown here.

TradingVision User Interface Documentation

Revised 3/3/2013

Allocation Validation

Page 9 of 19

Wireframe Note: The alert column exists to display the error icon in the event that the error is in a cell beyond the userâ&#x20AC;&#x2122;s view.

Allocation

My Funds

Allocate

PM Order

Taxable MM

Test Compliance GP Funds

Rated Funds

Hard Error

Trader Rounding Increment Tier 2 Funds

All Funds ...

100,000,000 Configure Groups ...

Visual Treatment

Soft Error

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

2) Use arrow menu to pick individual funds from group

Fund Selection

Page 10 of 19 Allocation

Allocation My Funds Fund Name

PM Order

Allocate

Taxable MM Par Amt (mm)

Test Compliance

GP Funds Cmpl

Principal

Trader Rounding Increment

Rated Funds AI

Proceeds

Tier 2 Funds PM Max

All Funds... De Minimis

100,000,000 Configure Groups ... PM

Totals

3) Use funds dialog to pick groups or funds (like today)

1) Use button to fill funds from a group

Allocation Allocation

Allocation

Allocate

PM Order

Test Compliance

Trader Rounding Increment

100,000,000 Allocation

My Funds

Taxable MM

GP Funds

Rated Funds

Tier 2 Funds

All Funds...

My Funds Fund Name

Par Amt (mm)

Cmpl

Principal

Proceeds

PM Max

De Minimis

Allocate

PM Order

Test Compliance

Trader Rounding Increment

100,000,000

Configure Groups ... Taxable MM

GP Funds

Rated Funds

Tier 2 Funds

All Funds...

Configure Groups ...

PM Fund Name

Totals

Par Amt (mm)

Cmpl

Principal

Proceeds

PM Max

De Minimis

Allocation Totals

Allocation My Funds Fund Name Totals

Allocation

Allocation My Funds Fund Name

PM Order

Allocate

Taxable MM Par Amt (mm)

Test Compliance

GP Funds Cmpl

Principal

Trader Rounding Increment

Rated Funds AI

Proceeds

Tier 2 Funds PM Max

All Funds... De Minimis

100,000,000 Configure Groups ...

Allocate Test Compliance Trader Rounding Increment Remaining Fund Cash 1-Day Liq 7-Day Liq GP Funds Rated Funds Tier 2 Funds All Funds... FCR (55) 16.550 1.23% 9.33% DMFMM (43) 134.550 2.12% 11.23% Par Amt (mm) Cmpl Principal AI Proceeds PM Max De Minimis FICDOM (622) 8.125 0.89% 14.44% FCR (55) 16.550 1.23% 9.33% DMFMM (43) 134.550 2.12% 11.23% FICDOM (622) 8.125 0.89% 14.44% FCR (55) 16.550 1.23% 9.33% DMFMM (43) 134.550 2.12% 11.23% FICDOM (622) 8.125 0.89% 14.44% FCR (55) 16.550 1.23% 9.33% DMFMM (43) 134.550 2.12% 11.23% FICDOM (622) 8.125 0.89% 14.44% PM Order

Taxable MM

100,000,000 Configure Groups ... PM

Allocation

My Funds

Totals DMFMM

Fund Name

FCUSM

Totals

FMMTGRET

PM Order

Allocate

Taxable MM Par Amt (mm)

Test Compliance

GP Funds Cmpl

Principal

Trader Rounding Increment

Rated Funds AI

Proceeds

Tier 2 Funds PM Max

All Funds... De Minimis

100,000,000 Configure Groups ... PM

Allocation

Allocation My Funds

PM Order

Allocate

Taxable MM

Fund Name

Par Amt Cmpl (mm)

Totals

Fund FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43)

FICDOM

See Sell Ticket for more on selecting lots for Sell tickets

Test Compliance

GP Funds Cmpl Remaining Principal Principal

Cash 16.550 134.550 8.125 16.550 134.550 8.125 16.550 134.550 8.125 16.550 134.550

Trader Rounding Increment

Rated Funds AIAI

Tier 2 Funds

Proceeds Proceeds

PM Max

All Funds... De Minimis

100,000,000 Configure Groups ... PM

1-Day Liq 7-Day Liq 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23%

Allocation

Allocation My Funds Fund Name Totals FICDOM DMFMM

PM Order

Allocate

Taxable MM Par AmtCmpl (mm)

Test Compliance

GP Funds Principal CmplRemaining Principal

Fund FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622)

Cash 16.550 134.550 8.125 16.550 134.550 8.125 16.550 134.550 8.125 16.550 134.550 8.125

Trader Rounding Increment

Rated Funds AI AI

Proceeds Proceeds

Tier 2 Funds PM Max

All Funds... De Minimis

100,000,000 Configure Groups ... PM

1-Day Liq 7-Day Liq 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23% 0.89% 14.44% 1.23% 9.33% 2.12% 11.23% 0.89% 14.44%

See Fund Selection Clickthrough.ppt

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Configure Groups

Page 11 of 19

1) Press the “Configure Groups” button to bring up the Configure Groups Dialog

2) Add funds to the group by checking the boxes next to the funds, or highlighting the funds and clicking the arrows. Remove funds by using the arrow button, the “X” button, or the “Clear All” button.

3) The Funds are now available in the dropdown for the fund group.

Allocation Allocation

Configure Groups Allocation

Allocate

PM Order

Test Compliance

Trader Rounding Increment

100,000,000 Allocation

My Funds

Taxable MM

Fund Name

Par Amt (mm)

GP Funds Cmpl

Rated Funds

Principal

Tier 2 Funds

Proceeds

PM Max

All Funds...

Configure Groups ...

PM Order

My Funds Fund Name

Expand All

Example of button wrapping: Allocation

PM Order

Allocate

Test Compliance

Trader Rounding Increment

Taxable MM

GP Funds

Rated Funds

Group 6

Group 7

Group 8

Group 9

Fund Name

Par Amt (mm)

Cmpl

Principal

Proceeds

Tier 2 Funds

All Funds...

Collapse All

Portfolio Fund Groups Canada Emerging Markets Equity FIL Fixed Income Funds High Yield Muni Bond Muni MM Taxable Bond Taxable MM Portfolio Manager Groups Castagliuolo, Franco Chakra, Ana Chang, Sung Moon Collins , Bryan Conti , Matthew J Duby , Bob K Dudley, Andy J Fischer, George A Fishwick, IAN Foley, Robin L Foster, Tim Gaffney, Kevin Galusza, Rob M Gorodilov, Andrei

No maximum of buttons. Additional group buttons will wrap. See below

My Funds

Allocate

Taxable MM

Clear All

Totals

FCR DMFMM FICDOM FCR DMFMM FICDOM FCR DMFMM FICDOM FCR

X X X X X X X X X X

Test Compliance

GP Funds

De Minimis

Totals

Allocation

My Funds

Par Amt (mm)

Cmpl

Fund FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622) FCR (55) DMFMM (43) FICDOM (622)

Rated Funds

Trader Rounding Increment Tier 2 Funds

Remaining Principal AI Proceeds Cash 1-Day Liq 7-Day Liq 16.550 1.23% 9.33% 134.550 2.12% 11.23% 8.125 0.89% 14.44% 16.550 1.23% 9.33% 134.550 2.12% 11.23% 8.125 0.89% 14.44% 16.550 1.23% 9.33% 134.550 2.12% 11.23% 8.125 0.89% 14.44% 16.550 1.23% 9.33% 134.550 2.12% 11.23% 8.125 0.89% 14.44%

PM Max

All Funds...

100,000,000 Configure Groups ...

De Minimis

100,000,000 Configure Groups ...

Remove Group

Cancel

Group 10 PM Max

De Minimis

Totals

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Configure Groups - Adding a Group

Page 12 of 19

1) Press the “Configure Groups” button to bring up the Configure Groups Dialog

2) Select “Add…” from the dropdown

Configure Groups

My Funds Expand All

Collapse All

Remove Group

3) Name the new group and add funds to the group by checking the boxes next to the funds, or highlighting the funds and clicking the arrows.

Clear All

FCR DMFMM FICDOM FCR DMFMM FICDOM FCR DMFMM FICDOM FCR

X X X X X X X X X X

Cancel

My Funds Taxable MM GP Funds Collapse All Expand All Rated Funds Portfolio Fund Groups Tier 2 Funds Canada Add…. Emerging Markets Equity FIL Fixed Income Funds High Yield Muni Bond Muni MM Taxable Bond Taxable MM Portfolio Manager Groups Castagliuolo, Franco Chakra, Ana Chang, Sung Moon Collins , Bryan Conti , Matthew J Duby , Bob K Dudley, Andy J Fischer, George A Fishwick, IAN Foley, Robin L Foster, Tim Gaffney, Kevin Galusza, Rob M Gorodilov, Andrei

Remove Group

Configure Groups Add... Clear All

Group Name

FCR DMFMM FICDOM FCR DMFMM FICDOM FCR DMFMM FICDOM FCR

X X X X X X X X X X

Cancel

Expand All

Collapse All

Clear All

Portfolio Fund Groups Canada Emerging Markets Equity FIL Fixed Income Funds High Yield Muni Bond Muni MM Taxable Bond Taxable MM Portfolio Manager Groups Castagliuolo, Franco Chakra, Ana Chang, Sung Moon Collins , Bryan Conti , Matthew J Duby , Bob K Dudley, Andy J Fischer, George A Fishwick, IAN Foley , Robin L Foster, Tim Gaffney, Kevin Galusza, Rob M Gorodilov, Andrei

Remove Group

Cancel

Note: Groups may be removed via the “Remove Group” button.

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Settings Dialog

Page 13 of 19

Settings Dialog

Reset Alert

(Launched by “Settings…” button in ticket toolbar This section changes Envision theme for all tickets

Settings

Appearance

Appearance Choose an asset class to set preferences for that asset class.

Ticket Settings

Ticket Settings User can choose which supplemental section (in the Accordion) he wants to see by checking the boxes

Asset Class

Currency

Side

Ratings

Ratings Credit Exposure

If this list gets large (over 6), these options should be displayed in a scoll box like the supplemental content above

Holdings

Warning

Credit Enhancements

Other Bricklet 1

Other Bricklet 2

Other Bricklet 3

Bloomberg DES

Horizon

MSM

Holdings Monitor

Trade History

Reset BN to default

This will reset all your preferences for all IV types. Are you sure you want to do that?

Yes

Application Quick Launch

Reset

Reset Set all IV types to default

Resets to default ticket settings Save

TradingVision | GP Ticket UI Design

Credit Exposure

Default to “all” for every IV type

Holdings

Choose which applications may be launched with the quick launch buttons.

USD

Buy

Supplemental Content to Display

Holdings is not optional for Sell tickets

Currency

Side

USD

Buy

Alt ID and Trade Ownership can not be removed, so they are not listed here.

Dark Theme

Light Theme

Dark Theme

Light Theme

Cancel

Reset BN to default

Set all IV types to default

Save

Cancel

TradingVision User Interface Documentation

Revised 3/3/2013

Toolbar

Page 14 of 19

Clears the fields

Cancels the trade Launch Security Details with context of current security

Open Settings dialog

Audit

Clear Ticket Delete Ticket

Settings...

Security Details

Print ticket (current functionality)

TradingVision | GP Ticket UI Design

Horizon

Open in Window 1 Open in Window 2 Open in Window 3 Open in Window 4

Open Audit window (same as current Audit window)

Open email with trade information (current functionality)

DES (2)

Launch Horizon with context of current security

If the user clicks the DES button, the DES screen will open in the Bloomberg window specified in parentheses

If the user clicks the arrow next to the DES button, a menu is displayed as shown. The user can choose which Bloomberg window to use to load the DES screen. That selection is then retained and displayed as the number in parentheses next to DES,.

TradingVision User Interface Documentation

Revised 3/3/2013

Visual Design - Buy

TradingVision | GP Ticket UI Design

Page 15 of 19

TradingVision User Interface Documentation

Revised 3/3/2013

Visual Design - Sell

Page 16 of 19

Shows the “Set Up” state for a CUSIP. “Set Up” button is disabled.

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Visual Design - Alerts

TradingVision | GP Ticket UI Design

Page 17 of 19

TradingVision User Interface Documentation

Revised 3/3/2013

Alert Dialog

TradingVision | GP Ticket UI Design

Page 18 of 19

TradingVision User Interface Documentation

Revised 3/3/2013

Visual Design - Dialogs All Funds Dialog

Page 19 of 19

Configure Groups Dialog

Settings Dialog (Launched by “Settings…” button in ticket toolbar

TradingVision | GP Ticket UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Contents

Page 1 of 9

TradingVision | Launcher UI Design Contents Launcher Concept Docked in Blotter Navigating the Launcher Custom Data for TD Launcher Mode Mini Ticket Mode Validation Settings Dialog

1 2 3 4 5 6 7 8 9

Launcher Prototype This document is a supplement to the launcher XAML prototype See the prototype for examples, behaviors, and appearance standards

TradingVision | Launcher UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Launcher Concept 1

Trading Vision Launchpad 2

IV Type

Page 2 of 9

CUSIP, issuer, etc.

Mini Ticket

MSM

DES (2)

5 Holdings

Trading Vision Launchpad

Horizon

Launch Application

Floating Launcher

IV Type and CUSIP fields CUSIP field can contain any of these items:

Settings...

 CUSIP, SEDOL, ISIN

Trading Vision Launchpad

 Program CUSIP IV Type

CUSIP, issuer, etc.

Mini Ticket

IV Type

MSM DES (2)

MSM

Horizon Prophet

Query IV Type Tool

Mini Ticket

Buy

Price

Par Amount

Dealer

Launcher

 Issuer Name

MSM

 Trade ID

Horizon Issuer/Description Prophet

Lorem Lorem Lorem Lorem Lorem Lorem

Ispum Ispum Ispum Ispum Ispum Ispum

Triggers a suggestive search to match against any of those

More...

Mini Ticket Expander Expands the contents to the “Mini Ticket” version

Contextual App Links Clicking a link here opens that application and sends the security context to it

App Launcher Box User can type in this box to launch an trading application. Suggested search results match as the user types.

Window Reduced App Launchers wraps to second row

CUSIP Suggestive Search Faceted suggestions are displayed as the user types

Launcher Expanded to Mini Ticket Security ID and Side fields remain, other fields are added. Save button is added and is now default action.

Values Entered User has entered a CUSIP, which is used to populate the IV type and Maturity fields.

More... Bank of Someplace Other Bank Here Lorem Ispum Lorem Ispum

Trading Vision Launchpad

CUSIP, issuer, etc.

Cash Monitor

CD CUSIPs 12 9BMMBHS04 4 6 24CD Save Pend Conf Ex ABC123FG0 BN BD045OF05 YCD BGH84KSL9 CP BD0LI435J CP Issuers/Programs ABC BOS OBH BG0045 CP BHF775 CP

Holdings

CUSIP, issuer, etc.

MSM

DES (2)

Trading Vision Launchpad

ABC123D0X

Buy

Price

200

Dealer

Save

Open

Launcher

MSM

DES (2)

User has entered Par, but not dealer, which is allowed (only the Security Identifier field and Side are required). 10

Save and Open buttons are now activated. 9

TradingVision | Launcher UI Design

Minimize The floating launcher window (the “Launch Pad”) can be minimized to the system tray. Much Sametime, if the user clicks the minimize or the close button on the window, the launcher window is removed from the taskbar, but the icon still appears in the tray.

TradingVision User Interface Documentation

Revised 3/3/2013

Docked in Blotter Trading Vision Blotter

IV Type

CUSIP, issuer, etc. 2

Page 3 of 9

1 B

Mini Ticket

MSM

DES (2)

Holdings

Horizon

Launcher toolbar in another application Launcher toolbar is separate from other application toolbars.

Context from Application When docked in a application that displays securities â&#x20AC;&#x201C; like MSM â&#x20AC;&#x201C; when the user clicks on a security (e.g. an offering), the CUSIP for that security should populate in the CUSIP box

Prophet

(Note that the B and Save buttons should not be triggered unless the user has given focus to one of the fields in the Launcher bar, in order to prevent accidental ticket creation).

TradingVision | Launcher UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Navigating the Launcher

Page 4 of 9

Universal Shortcut The user can bring the launcher window to the front from any application on his system by pressing F2. When brought to the front, the IV type field will also get focus. [Note – the shortcut can change if necessary]

Keyboard Search Item Selection After the user types in a field and the suggested search menu appears, he can use the arrow keys to enter the search results menu and highlight a selection. Pressing tab or enter will activate the selection.

Toolbar Item Menu When the viewable area is too small, the standard toolbar menu is used as shown here.

App Launcher Menu Contains links to any application that’s currently launched from the Excel notebooks. The search suggestions match application names as the user types. Can be configured in the settings.

Inverted Menus When the launcher window is at the bottom of the screen, the suggested search menus and message box appear above the field instead of below.

1 !

Matching Fields The suggestions display a list of CUSIPs, but the search box accepts and matches against any of the following fields: 

CUSIP



Program CUSIP



Issuer Name (long or short)



Bloomberg Ticker

3 4

TradingVision | Launcher UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Custom Data for TD

Issuer LOREM

Guideline Room Industry 5,000 DB

Page 5 of 9

CFTAX CCCF CFTAX 5% CCCF Max Div. Room Div. Room Room 5% Room Room 5.00% 4.00% 1,400 600 2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

1 4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

2,000

LOREM

5,000 DB

5.00%

4.00%

1,400

600

For Repo Traders Only The suggested search results display additional fields for TD only

Issuer Room Data Search suggestions shows matching TD issuers and corresponding room data as shown

2,000

More...

TradingVision | Launcher UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Launcher Mode

Page 6 of 9

Split Buttons If the user simply clicks the B button, a TV ticket is opened. If they click the arrow portion of the button, they can select a platform on which to open the ticket. If they select a 3rd party platform, a ticket is opened on that platform and a TV ticket is saved in the background.

IV Type Suggested Search Menu A menu of suggested search matches appears as soon as the user type a single character into the IV type field. The suggests are updated dynamically as the user types

CUSIP Suggested Search Menu A menu of suggested search matches appears as soon as the user type two or more characters into the IV type field. The suggests are updated dynamically as the user types

1 B Trading Vision TradeWeb BOOM FIT Market Access

The search results should be pre-filtered by the traderâ&#x20AC;&#x2122;s desk.

CUSIP More Links Only the top 5 search matches for CUSIP and top 10 matches Issuer/Program are displayed. To display all matches for Issuer/Program, the user can click the More link. This will expand the Issuer/Program section only to show ALL matching Issuer/Programs. The dropdown will scroll if necessary.

IV Type Detection When the user enters a valid CUSIP or program, the IV type is automatically populated.

IV Type Mismatch Warning If the user enters a CUSIP and subsequently changes the IV type to a value that does not match the CUSIP, the IV type field is bordered yellow.

95840R344

TradingVision | Launcher UI Design

This does not prevent opening a ticket, however - the CUSIP field overrides the IV type.

TradingVision User Interface Documentation

Revised 3/3/2013

Mini Ticket Mode

Page 7 of 9

CUSIPs 9BMMBHS04 ABC123FG0 BD045OF05 BGH84KSL9 BD0LI435J Issuers/Programs ABC BOS OBH BG0045 BHF775 Trades ABC123FG0 BGH84KSL9 Holdings ABC123FG0 BGH84KSL9 BGH84KSL9

IV Type CD CD BN YCD CP CP

Issuer/Description Lorem Ispum Lorem Ispum Lorem Ispum Lorem Ispum Lorem Ispum Lorem Ispum

CP CP

Bank of Someplace Other Bank Here Lorem Ispum Lorem Ispum

BN CD CP

Lorem Ispum .22 2,300 Lorem Ispum .22 2,300 Borem Ispum .22 2,300

BN CD CP

Lorem Ispum .22 2,300 Lorem Ispum .22 2,300 Borem Ispum .22 2,300

B C D T Y

Price/Yield Field  Price and Par are assumed to be in the currency of the security  Must accommodate negative yields  Allow for entry of 32nds in 000-00 format  Traders may choose a price type from the adjoining price type type ahead.

Save Button Save is default button – if the user presses enter, the save button is activated

Open Button Open button is a split button that allows the user to choose a platform on which to open the ticket – just like the B and S buttons in Launcher mode

CUSIP Suggestions Trades and Holdings matches are shown when in Mini Ticket mode

Ticket Type Field In this case, the suggested search returns a fixed menu of options. Default value for the field is “Buy”. As soon as any value is entered into this field, the selection dropdown will appear.

Inapplicable Ticket Types If the IV type is not CP or TECP, the Roll and Tender types are grayed out

Bill/Discounts CD Yield Decimal Thirty-Seconds Bond Yield

If the user selected an inapplicable IV type before choosing the IV type (e.g. selected “Tender” and then specified an IV type of BN), then the Ticket Type field will be bordered in red when the IV type is entered. (See Validation)

Buy Sell Interfund Roll Tender

DLR1 XDLR DQEB BFRJ LORM

TradingVision | Launcher UI Design

Dealer Name Dealer Name Dealer Name Dealer Name Dealer Name

DTC # DTC # DTC # DTC # DTC #

Par Amount Value is in 1,000s

Dealer suggestions menu Contains dealer abbreviation, Dealer Name and DTC #

After a valid Save or Open action is taken, the fields reset to default.

TradingVision User Interface Documentation

Revised 3/3/2013

Validation

Page 8 of 9

95840R344

Invalid IV Type If the user types and invalid IV type, the box is bordered in red as shown. The action buttons (B, S, Open, Save) do not do anything

Invalid CUSIP When the user presses enter or tab in the CUSIP field, the system should verify that the CUSIP is for a valid security or known program. If not, the box is bordered in red as shown. The action buttons (B, S, Open, Save) do not do anything.

General (Launcher or Mini Ticket Modes)

95840R344

IV Type Mismatch Warning If the user enters a CUSIP and subsequently changes the IV type to a value that does not match the CUSIP, the IV type field is bordered yellow.

Saving Trades (Mini Ticket) User can not save a trade without a valid CUSIP

Format Validation Check for the following field formats: CUSIP Field  6 or 9 digits, letters and numbers (CUSIP)  7 digits, numbers only (SEDOL)  12 digits, letters and numbers ISIN

This does not prevent opening a ticket, however - the CUSIP field overrides the IV type.

For an invalid CUSIP, a message box is displayed asking the user if they would like to email DMS.

PAR Field  Numbers only

95840R344

Price Field  Numbers only

Email DMS

If any of the above field have an invalid entry, the field is bordered in red as shown here for IV type and CUSIP.

95840R344

Email DMS

DMS Setup If the user clicks Email DMS, an Outlook Email is opened with a formatted message requesting setup of the security. Contents of this email are TBD.

95840R344

Approved Indicator If the security is approved, the field is bordered in green

CD !

Message Box Location & Format Message is located in a rollover. Rollover content and messaging TBD

95840R344

Minimum Requirements – Launcher Mode User must enter an IV type OR a valid value in the CUSIP field. If not, the B and S buttons do nothing.

CD !

Inactive Buttons If any field is red, the B, S, Save, and Open buttons do nothing. They do not appear disabled, the simply do nothing.

95840R344

Minimum Requirements – Mini Ticket Mode To Open or Save a ticket, the user must enter an IV type OR a valid value in the CUSIP field AND a ticket type (Buy, Sell, etc.). If not, the Save and Open buttons do nothing. All other fields are optional.

TradingVision | Launcher UI Design

TradingVision User Interface Documentation

Revised 3/3/2013

Settings Dialog

Page 9 of 9

This section changes Envision theme for the launcher.

Launcher Settings Trading Platforms

Appearance Light Theme

Dark Theme

This section allows the user to choose which platforms in which the miniticket can initiate a trade.

BOOM TradeWeb

CUSIP Search Results This section controls what is displayed in the suggestive search.

Show CUSIPs

Lorem Ipsum None

Show GP Approved List Show Holdings (in Mini Ticket) Show Trades (in Mini Ticket)

Application Quick Launch

This section allows the user to choose which applications may be launched with the quick launch buttons.

Bloomberg DES Horizon MSM

If this list gets large (over 6), these options should be displayed in a scoll box like the supplemental content above

Holdings Monitor Trade History

Save

TradingVision | Launcher UI Design

Cancel

TradingVision User Interface Documentation

Revised 3/3/2013

Intrepid Project: Release 4.0 Add New Entity Data Management Services Workstation File

External Applications

Interaction Details:

Help

Maintain Data

Manage Requests

Research MetaCenter

Research Vendor Data

Maintain Code Tables

Basic

Build Cancel

Be sure to complete all applicable subject areas before moving forward.

The “preview” tab is the same “tab template” that we have used for bringing up existing entities in the UI. We should be using this template to allow users to “build” a new Instrument and tradable entity in preview mode.

If building an Instrument, the user must also build a primary tradable entity at the same time.

Bulk Upload

FROM SCRATCH. If the user is adding a new instrument and tradable entity from scratch, the “Preview” tab should display as follows:

Portfolio Report

Header area with instructional text, Instrument/Tradable Entity navigation, build and cancel buttons as shown.

Instructional text is read only and is an indication to the user as to the steps they must follow to build an Instrument and Tradable Entity.

Upon user’s click of “Build” button, immediately build the Business Entity and save any data that was entered manually by the user.

Upon user’s click of Cancel, close dialog. Any data entered should not persist.

Add Firm

Cancel

Add Firm

Add Instrument

Add Portfolio

Alt IDs

Comments

General Maintenance | Location

Ratings

Sector Classification

Contacts

Entity Links

| Approvals | Transitional

GENERAL MAINTENANCE

BECO ID

Trust Type Code

Business Entity Type Description

Deleted Indicator

Business Entity Long Description

Government Agency Code

Business Entity Short Description

Income Trust Type Code

Business Entity Type Code

Non Legal Entity Type Code

Creation Date

Revenue Source Code

Deactivation Date

Partnership Type Code

Next Fiscal Year End Month

Fundamental Currency Code

Next Fiscal Year End Year

Government Backed Indicator

Last Fiscal Year End Year

Domicile State Tax Exempt Indicator

Add Business Entity

Add Business Entity Data

Upon user’s selection of “Add Business Entity” from the Add New Entity dropdown, brings up the “preview” tab.

Add Business Entity

Preview

Inc. Please add the data for your business entity. b Motorola,

Add New Entity

a Search

COMMENTS Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Business Entity Navigation Display navigation using Envision’s third level tab style, allowing the user’s to switch between Instrument data and tradable entity data. “+” Tab Item

should be available for users to add the variable subject areas. Once the user adds the subject area to the navigation bar, the subject area component should be available for user to add data.

See subject area navigation wireframes for more details.

Subject area navigation bar

Display consistent subject areas only

Do not display Edit and Save buttons in Preview mode.

User can access the consistent subject areas by clicking on the them. Subject area selected should display below.

Basic should be the default subject area that displays in the Preview tab.

If the subject area is a form, display screen with attribute labels, dropdowns and fields with no values.

If the field is required, display “Select Value” in the text field. If the field is optional, leave blank.

Page 1 of 1

Intrepid Project: Release 4.0 Trade Restriction

IST Workspace File

External Applications

Help

Interaction Details:

Maintain Data Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

1122

SAVE

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

Add New Subject Area

Alt Alt IDsIDs Tradable Entity Link Comments

Current View

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Full-Historical View

Drag a column header here to group by that column Alt ID Scheme Clear

To navigate to the Business Entity Alt IDs component, the user clicks on the “Alt IDs” button in the Subject Area navigation. Upon user’s click, display component below.

Business Entity Alt IDs will be a consistent menu item in the subject area navigation. A user will not be able to add or delete this component.

Display Business Entity Alt IDs in a grid with the column order shown here.

Alt ID Scheme – include code and description

Business Entity Alt ID

Effective Date

Expiration Date

Provide toggle between 2 views – Current and Full-Historical.

Current View

Display current or in-effect Alt iDs.

The user can expire an Alt ID in the current view.

The user can’t edit the scheme, Alt ID or effective date.

If a Alt ID is expired in the current view, upon save, the Alt ID data should be “moved” to display in the full-historical view.

Sort in grid by Alt Id scheme code.

User can delete a existing Alt ID in the current view.

Source Update ID – this column should be available in the list of columns in the column chooser. This column should not be visible in the default view of the grid.

If the user wants to view Source Update ID in the grid, they will select the column using the “Column Chooser” tool.

Target Update Timestamp - this column should be available in the list of columns in the column chooser. This column should not be visible in the default view of the grid.

If the user wants to view Target Update Timestamp in the grid, they will select the column using the “Column Chooser” tool.

USD – US Dollar

Business Entity Alternate Identifiers

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

Basic Basic

Business Entity Alt ID

d Effective Date

* Indicates Required Field

Expiration Date

Filter by..

BARRG2 – BARRA GLOBAL

1122USAT

b c d e f g

02-Jan-1992

Select Reason

Select Client Code

Select Research Source

Ratings

Add a Comment….. [Text comment will be displayed here]

Clear

Created by: Deborah Goodman

Page 1 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Interaction Details:

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Current View

a b

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme

Business Entity Alt IDs will be a consistent menu item in the subject area navigation. A user will not be able to add or delete this component.

Display Business Entity Alt IDs in a grid with the column order shown here.

Alt ID Scheme – include code and description

Business Entity Alt ID

Effective Date

Expiration Date

Provide toggle between 2 views – Current and Full-Historical.

Full-Historical View – display all Alt Ids assigned to the Business Entity; in-effect, expired and future in-effect.

Allow users to edit in Full-Historical view.

Sort by Alt Id Scheme Code, then by effective date with null expiration date, then Future date, then inactive history.

In the Full-Historical View user can edit the Alt ID, effective date and expiration date. Users can’t edit the Scheme.

User can delete an existing Alt ID in the Full-Historical View.

Add New Subject Area

Business Entity Alternate Identifiers

Clear

To navigate to the Business Entity Alt IDs component, the user clicks on the “Alt IDs” button in the Subject Area navigation. Upon user’s click, display component below.

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

Basic Basic

Business Entity Alt ID

Effective Date

BARRG2 – BARRA GLOBAL

USAMT11

07-Oct-2011

BARRG2 – BARRA GLOBAL

USAM10

15-Jan-2010

BARRG2 – BARRA GLOBAL

USAM08

08-Jun-2007

Expiration Date

Filter by..

14-Jan-2010

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 2 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Interaction Details:

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas: Basic Basic

a b

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

Sector Classification

Contacts

XNYS - New York Stock Exchange

Entity Links

Amount Outstanding

USD – US Dollar

Business Entity Alternate Identifiers Current View

Full-Historical View

Drag a column header here to group by that column Alt ID Scheme Clear

b Business Entity Alt ID

c Effective Date

On this component:

Alt ID Scheme is read only. It can not be updated.

Business Entity ID - User can change an Business Entity Alt ID. Provide text field for user to enter value, except for CO ID which can’t be updated.

Null is not a valid value.

Effective Date - User can change the effective date to a date in the past, current or future.

The date can’t be null.

Expiration Date - User can change the expiration date. Upon click into field, display current system date minus 1.

The date can be null.

The date can’t be less than or equal to effective date.

Date Format is dd -month abbreviation – yyyy. Month is a 3 letter abbreviation.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date.

TRADING

Add New Subject Area

Ratings

* Indicates Required Field

c d

Expiration Date

Filter by..

BARRG2 – BARRA GLOBAL

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

1122USAT USAMT11

02-Jan-1992

Add a Comment….. [Text comment will be displayed here]

Clear

Page 3 of 21

Intrepid Project: Release 4.0 Business Entity

IST Workspace File

External Applications

Help

Interaction Details:

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

* Indicates Required Field

Drag a column header here to group by that column

Clear

Allow user to edit a row. Once user has clicked out of row, display error messages, if any. Use error icon as shown here and display message in a tool tip.

Null is not a valid value.

Business Entity Alt ID

Effective Date

Expiration Date

02-Jan-1992

dd-mon-yyyy

<name of field> is a required field. Please provide this information.

Invalid value.

When user enters an invalid value (refer to use case for system violations) display message “Identifier entered is not a valid <ID type>. Please enter a valid value.

Effective Date

The date can’t be null.

Full-Historical View

Alt ID Scheme

Business Entity Alternate Identifiers Current View

Business Entity ID -

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

EDIT

Subject Areas:

KINGSWOOD IV

<name of field> is a required field. Please provide this information.

Expiration Date

The date can’t be less than or equal to effective date. When user enters an invalid date, display message.

“The expiration date must be greater than the effective date.”

Filter by..

BARRG2 – BARRA GLOBAL

1122USAT

Identifier entered is not a valid ID type. Please enter a valid value.

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 4 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Interaction Details:

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

Sector Classification

Contacts

Entity Links

Amount Outstanding

Expiration Date -

When user clicks into expiration date field, display default expiration date – set to current system date minus 1

If user wants to change the expiration date from the default to another date, user can select another date by choosing from the date picker or typing into the field.

The date can be null.

The date can’t be less than or equal to effective date.

Date Format is dd -month abbreviation – yyyy. Month is a 3 letter abbreviation.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date. All dates are based/display on GMT time.

User can expire an Alt ID in the current and Full-Historical View

User can also use the right click menu to expire a row.

USD – US Dollar

Add New Subject Area

Ratings

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

SDL – Sedol Identifier

B4T0YL7

15-Jun-2011

20-Jun-2011

Delete Row Expire Row

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 5 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Alt IDs

Help

- Source Update ID column

Maintain Data Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables

- Target Update Timestamp column

Export

Delete

Add New Entity Interaction Details: TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Do not display the following columns in a typical grid display; Source Update ID

Target Update Timestamp

Add New Subject Area

Basic Basic

Alt Alt IDsIDs Tradable Entity Link Comments

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Instead, provide these columns as a choice in the list of columns to display in the grid “Column Chooser” tool.

If a user wants to view source data, he can use the column chooser to add these columns to the grid view.

If the user wants to remove the source data from view, he can use the column chooser to remove the columns from the grid view.

User can access the Column Chooser tool by right clicking on any column header.

Any changes to the grid view are not persistent. If the user leaves this component, return to grid default view.

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 6 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas: Basic Basic

Interaction Details:

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

Ratings

Sector Classification

Contacts

TRADING

XNYS - New York Stock Exchange

Entity Links

USD – US Dollar

Amount Outstanding

User changes effective date of an active or “in-effect” Alt ID.

No expired Alt IDs exist.

Example here shows user’s edit of the effective date to a past date of 15Jan – 2011. (original effective date was 15-Jun-2011.

Edit Effective Date in grid with selection from date picker.

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

MARKET EXCHANGE

Add New Subject Area

Business Entity Alternate Identifiers Current View

Manual Entry by User to Update Business Entity Alt ID Effective Date (no previous Alt ID exists)

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

THLN.OQ

15-Jan-2011

Add a Comment….. [Text comment will be displayed here]

Clear

Page 7 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas: Basic Basic

Interaction Details:

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

Ratings

Sector Classification

Contacts

TRADING

XNYS - New York Stock Exchange

Entity Links

USD – US Dollar

Amount Outstanding

Edit Effective Date in grid with selection from date picker.

User changes effective date of an active or “in-effect” Alt ID.

An expired Alt IDs exists but no date overlap between expiration date of old ID and effective date of new ID.

Example here shows user’s edit of the effective date to a past date of 15Jan – 2011. (original effective date was 15-Jun-2011.

System checks for overlap between new effective date and expiration date of previous expired Alt ID. No message is displayed because there is no overlap.

Previous date and new date display in the historical view.

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

MARKET EXCHANGE

Add New Subject Area

Business Entity Alternate Identifiers Current View

Manual Entry by User to Update Business Entity Alt ID Effective Date (no previous Alt ID exists)

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

THLN.OQ

15-Jan-2011

Add a Comment….. [Text comment will be displayed here]

Clear

Page 8 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

THLN.OQ

15-Jan-2011

RIC - Reuters RIC Code Identifier

THLND.OQ

20-Apr-2009

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

10-Dec-2010

Clear

Page 9 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas: Basic Basic

Interaction Details:

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

Manual Entry by User to Update Business Entity Alt ID Effective Date (previous Alt ID date overlap)

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

Sector Classification

Contacts

Entity Links

Amount Outstanding

User attempts to change the current effective date of an active or “ineffect” Alt ID with a date that overlaps with the expiration date of an expired identifier.

Example here shows user’s edit of the effective date from 15-Jun-2011 to 08-Dec-2010.

System checks for overlap between new effective date and expiration date, finds the overlap and does not allow the update.

A error icon and message is presented to the user.

USD – US Dollar

Add New Subject Area

Ratings

Business Entity Alternate Identifiers Current View

User attempts to edit Effective Date in grid. Edit is not allowed and user is presented with error icon and message.

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

THLN.OQ

08-Dec-2010 The date you have selected overlaps with the expiration date of an expired Identifier. Select an effective date greater than the expiration date.

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 10 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

THLN.OQ

15-Jun-2011

RIC - Reuters RIC Code Identifier

THLND.OQ

20-Apr-2009

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

10-Dec-2010

Clear

Page 11 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Manual Entry by User to Update Business Entity Alt ID Effective Date to a future date.

Maintain Code Tables Export

Delete

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas: Basic Basic

Interaction Details:

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

Ratings

Sector Classification

Contacts

User changes the current effective (future) date of an future In-effect” Alt ID.

USD – US Dollar

Example here shows user’s edit of the effective date from 07-Nov-2011 to 07-Oct-2011.

System checks for date overlap. No overlap found. No message displayed.

Amount Outstanding

User edits a Future effective Date in grid.

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

XNYS - New York Stock Exchange

Entity Links

TRADING

Add New Subject Area

Business Entity Alternate Identifiers Current View

MARKET EXCHANGE

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

BARRG2 – BARRA GLOBAL

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

USAMT11

07-Oct-2011

Add a Comment….. [Text comment will be displayed here]

Clear

Page 12 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Manual Entry by User to Update Business Entity Alt ID Effective Date

Maintain Code Tables Export

Delete

Add New Entity

Current date to a future date Future date to the current date

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

Interaction Details:

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

Ratings

Sector Classification

Contacts

USD – US Dollar

Amount Outstanding

User changes the current effective date to a future In-effect” Alt ID.

User can also change a future date to the current date.

System checks for date overlap. No overlap found. No message displayed.

User changes this Future effective Date in grid to today’s (current) date. User can also change today’s (current) date to a future date. * Indicates Required Field

Drag a column header here to group by that column

Clear

XNYS - New York Stock Exchange

Entity Links

Full-Historical View

Alt ID Scheme

TRADING

Add New Subject Area

Business Entity Alternate Identifiers Current View

MARKET EXCHANGE

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

BARRG2 – BARRA GLOBAL

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

USAMT11

07-Oct-2011

Add a Comment….. [Text comment will be displayed here]

Clear

Page 13 of 21

Intrepid Project: Release 4.0 Business Entity Scenario

IST Workspace File

External Applications

Help

Manual Entry by User to Delete Business Entity Alt ID row. Maintain Data Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Interaction Details:

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

Sector Classification

Contacts

Entity Links

XNYS - New York Stock Exchange

Amount Outstanding

To delete a row, User right clicks on the row. A menu containing “Delete Row” displays. Upon user’s click of this menu item, display “Are you sure you want to delete this record?” message. If user selects “Yes”, delete record from the database. If user selects “No” data should remain in grid as is.

User can delete an Alt ID record row in the Current and Full-Historical View

Exception – can not delete CO ID.

TRADING USD – US Dollar

Add New Subject Area

Ratings

IST Workspace Business Entity Alternate Identifiers Current View

Are you sure you want to delete this record?

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Yes

Expiration Date

Filter by..

RIC - Reuters RIC Code Identifier

THLND.OQ

10-Apr-2010

a Delete Row Expire Row

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 14 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity

Help

Manual Add by User for Business Entity Alt ID

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Interaction Details:

Add New Entity

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

Upon click of the “Add New ID” button, display a new row at the top of the grid.

Provide user with the ability to add:

Alt ID Scheme - Display all available values in a dropdown menu for user selection. Display user’s selection in cell.

Always display code and description in dropdown menu. Display code description in text field after user has made a selection.

Business Entity ID – display text field for user to enter Tradble Entity ID value.

Effective date – default to current system’s date upon display of new row in grid. User can change the date using the date picker to a date in the past or future.

Expiration date - defaults to null. User can add a date (when user adds a date, system defaults to current system date minus 1). The date can’t be less than or equal to the effective date.

Date Format is dd -month abbreviation – yyyy.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date. All dates are based/display on GMT time.

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

a c

Drag a column header here to group by that column Alt ID Scheme Clear

On this component:

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

EDIT

Subject Areas: Basic Basic

TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

Business Entity Alt ID

d Effective Date

* Indicates Required Field

Expiration Date

Filter by.. RIC - Reuters RIC Code Identifier

LROD.O

20-May-2011

CO ID - GRD CUSIP Key RIC -- Reuters Reuters RIC RIC Code Code Identifier Identifier RIC SDL - SEDOL Identifier BBC - Bloomberg Composite Ticker BBT - Bloomberg Primary Ticker BBN - Bloomberg Number BBU - Bloomberg Unique ID BBTICK - Bloomberg Ticker CO SYM - CO Symbol BARRG2 - Barra Global BARRUS - Barra US RICC - Reuters Consolidated RIC TBD - New BBG Global Identifier

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Scenario: When an Alt Id is being added (user or feed) with a current system date and an Alt ID of the same type exists as current “in effect”, the system should automatically expire current id being replaced. The expiration date should be current date minus 1.

Clear

Page 15 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity

Help

Manual Add by User of Future Effective Date for Business Entity Alt ID

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

Upon click of the “Add New ID” button, display a new row at the top of the grid. Default to current date for effective date upon display of new row in grid.

In this scenario:

User selects Alt ID Scheme from all available values in a dropdown menu.

Always display code and description in dropdown menu. Display code description in text field after user has made a selection.

User enters Business Entity ID – display text field for user to enter Tradble Entity ID value.

User changes the effective date to a future date using the date picker. Effective date – defaults to current system’s date upon display of new row in grid.

Expiration date - defaults to null.

Date Format is dd -month abbreviation – yyyy.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date. All dates are based/display on GMT time.

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

EDIT

Subject Areas:

KINGSWOOD IV

Interaction Details:

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

a Business Entity Alternate Identifiers Current View

Full-Historical View

e * Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

USAMT11

25-May-2011

Expiration Date

Filter by.. RIC - Reuters RIC Code Identifier

CO ID - GRD CUSIP Key RIC - Reuters RIC Code Identifier SDL - SEDOL Identifier BBC - Bloomberg Composite Ticker BBT - Bloomberg Primary Ticker BBN - Bloomberg Number BBU - Bloomberg Unique ID BBTICK - Bloomberg Ticker CO SYM - CO Symbol BARRG2 –- Barra Barra Global Global BARRUS - Barra US RICC - Reuters Consolidated RIC TBD - New BBG Global Identifier MSC - MSCI Index ID

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 16 of 21

Intrepid Project: Release 4.0 Business Entity

IST Workspace File

External Applications

To change an Alt Id, users will add a new alt id type and value and the system will expire the old alt ID of the same type)

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity Interaction Details: TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Upon click of the “Add New ID” button, display a new row at the top of the grid. Default to current date for effective date upon display of new row in grid.

In this scenario:

User selects Alt ID Scheme from all available values in a dropdown menu.

Always display code and description in dropdown menu. Display code description in text field after user has made a selection.

User enters a new Business Entity ID – display text field for user to enter Tradble Entity ID value.

User changes the effective date to a future date using the date picker. Effective date – defaults to current system’s date upon display of new row in grid.

Expiration date - defaults to null.

Date Format is dd -month abbreviation – yyyy.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date. All dates are based/display on GMT time.

TRADING

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by.. RIC - Reuters RIC Code Identifier

NEW.N

20-May-2011

CO ID - GRD CUSIP Key RIC - Reuters RIC Code Identifier SDL - SEDOL Identifier BBC - Bloomberg Composite Ticker BBT - Bloomberg Primary Ticker BBN - Bloomberg Number BBU - Bloomberg Unique ID BBTICK - Bloomberg Ticker CO SYM - CO Symbol BARRG2 - Barra Global BARRUS - Barra US RICC - Reuters Consolidated RIC TBD - New BBG Global Identifier MSC - MSCI Index ID JPM - JP Morgan ID Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

System auto-expires the “previous” Business Entity Alt Id, of the same type, with an expiration date of the new ID effective date minus 1 day.

Clear

Page 17 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

RIC - Reuters RIC Code Identifier

NEW.N

15-Jun-2011

14-Jun-2011

RIC - Reuters RIC Code Identifier

LROD.O

20-May-2011

Filter by..

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

Add a Comment….. [Text comment will be displayed here]

Clear

Page 18 of 21

Intrepid Project: Release 4.0 Business Entity

IST Workspace File

External Applications

Change (Add and an edit) an Alt Id, same day and same type)

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables

Interaction Details:

Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Upon click of the “Add New ID” button, display a new row at the top of the grid. Default to current date for effective date upon display of new row in grid.

In this scenario, user adds a new Alt ID:

User selects Alt ID Scheme (SDL) from all available values in a dropdown menu.

Always display code and description in dropdown menu. Display code description in text field after user has made a selection.

User enters a new Business Entity ID – display text field for user to enter Tradble Entity ID value.

Effective date – defaults to current system’s date upon display of new row in grid.

Expiration date - defaults to null.

Date Format is dd -month abbreviation – yyyy.

Display calendar icon. Upon user’s click provide a date picker. Also, display a text field for user to enter date. All dates are based/display on GMT time.

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

EDIT

Subject Areas:

KINGSWOOD IV

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

B4T0YL7

15-Jun-2011

Expiration Date

Filter by..

SDL - SEDOL Identifier

User edits the same row that was just added during the same day.

User edits the Business Entity Alt Id value

User updates Business Entity ID B074J63 that he just added this morning to B4T0YL7 this afternoon.

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

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Page 19 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Business Entity Scenario

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Add Validations

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

KINGSWOOD IV

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

If User enters an identifier that already exists on a different entity (uniqueness violation), display the following message:

“<ID type> already exists on another <entity type> <MDM entity ID>. Enter a unique identifier.”

For example: CO ID already exists on Business Entity 773634.

If user enters a null value or does not enter a value for a Business Entity Alt ID, display message:

An Alt ID must be entered for this Business Entity. Enter a valid value.

When user enters an invalid value for a Business Entity Alt ID (refer to use case for system violations) display message:

“Identifier entered is not a valid <ID type>. Enter a valid value.

When user enters an invalid date, display message.

USD – US Dollar

Add New Subject Area

Ratings

FHA

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID

EDIT

Subject Areas: Basic Basic

Interaction Details:

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

“The expiration date must be greater than the effective date.”

Expiration Date

Filter by..

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

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Clear

Page 20 of 21

Intrepid Project: Release 4.0 IST Workspace File

External Applications

Help

Maintain Data

Manage Requests Current Layout: Code Table Default

Research MetaCenter Create Save

Research Vendor Data

Maintain Code Tables Export

Delete

Add New Entity TE: Motorola, Inc. BE: BALTIMORE CNTY MD MTG…

BALTIMORE Motorola, Inc.CNTY MD MTG REV TRADABLE ENTITY ENTITY ID ID BUSINESS CURRENCY 148581 1122

Basic Basic

FHA

TICKER SYMBOL

CO ID

CSMCommon Stock

MOT

001055102 2026361

EDIT

Subject Areas:

KINGSWOOD IV

INSTRUMENT TYPE TYPE INSTRUMENT BUSINESS ENTITIY BE COID ID 1122

SAVE

Alt Alt IDsIDs Tradable Entity Link Comments

059148

SEDOL

GLOBAL DESIGNATION CODE P Primary

MARKET EXCHANGE

TRADING

XNYS - New York Stock Exchange

USD – US Dollar

Add New Subject Area

Ratings

Sector Classification

Contacts

Entity Links

Amount Outstanding

Business Entity Alternate Identifiers Current View

Full-Historical View

* Indicates Required Field

Drag a column header here to group by that column Alt ID Scheme Clear

Business Entity Alt ID

Effective Date

Expiration Date

Filter by..

Select Reason

Select Client Code

Select Research Source

Ratings

Created by: Deborah Goodman

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Page 21 of 21

AT Balances – Margin Accounts

Interaction Notes A

Account Summary Area Reordered into subsections for Cash, Margin and Short.

Daily Mark to Market Displays mark to market value on short positions. Updated nightly. Req 7.1.4

Available to Trade Without Margin Impact Displays how much a customer can trade without creating a debit balance. Language subject to change. Updated Intraday. Req 7.1.3

Deposits Not Yet Available to Withdraw Displays deposits made today that are subject to aging as well as the expected availability dates of previous deposits. If the topline value is $0.00, the heading will appear black and not be expandable. Values below only appear if they have balances. These balances always appear below the “available to withdraw” balances NOTE: A pre-existing field titled “Uncollected deposits” listed under “Cash Available to Trade” will be removed.

Account equity Displays how much equity the customer has in their margin account. Updated real-time. Formerly labeled “Margin Equity” The term below, Account Equity Percentage, is also edited (formerly labeled “Margin Equity Percentage). Req 7.1.1

AT Balances -

Interaction Notes A

New/Coming Soon Header This will be added to all effected pages as needed Multiple Margin Accounts The AT Balances will be added to Multiple Margin Accounts. The changes are the same as page 1 with the exception of the ADFA balances. ADFA balances will not appear on this screen.

AT Balances - iFrame

Interaction Notes A

Account Summary Area Reordered into subsections for Cash, Margin and Short.

Daily Mark to Market Displays mark to market value on short positions. Updated nightly. Req 7.1.4

Available to Trade Without Margin Impact Displays how much a customer can trade without creating a debit balance. Language subject to change. Updated real-time. Req 7.1.3

NOTE: A pre-existing field titled “Uncollected deposits” listed under “Cash Available to Trade” will be removed.

AT Balances - Margin Calculator

Interaction Notes A

Daily Mark to Market Displays mark to market value on short positions. Updated nightly. Req 7.1.4

Account equity Displays how much equity the customer has in their margin account. Udated real-time. Formerly labeled “Margin Equity” The term below, Account Equity Percentage, is also edited (formerly labeled “Margin Equity Percentage). Req 7.1.1

AT Balances -

Interaction Notes A

Available to Trade Without Margin Impact Displays how much a customer can trade without creating a debit balance. Language subject to change. Updated real-time. Req 7.1.3

Cross Session Trading Interaction Notes

Current State

Standard Ticket

Today’s Extended Hours Ticket – Extended Hours View

Order Type Selection. Depending on the order type selected, additional fields may appear dynamically. The Options in this dropdown are: Market Order Limit Order Stop Loss Stop Limit Trailing Stop Loss ($) Trailing Stop Loss (%) Trailing Stop Limit ($) Trailing Stop Limit (%)

Order Type Selection. Only limit orders are available

Time In Force Contains the following options: Day Immediate or Cance

The dynamic fields appear as follows: Trailing Stop/Trailing Limit ($ and %) Trail Amount text box Based on dropdown A

Stop Loss Stop text box

Limit Order Limit text box Stop Limit Stop text box Limit text box

Today’s Extended Hours Ticket – Standard View B C

Time In Force Contains the following options: Day Good ‘til Canceled Fill or Kill Immediate or Cancel On the Open On the Close

A B

Cross Session Trading Suggested Future State – Only available to customers authorized for extended hours trading. Extended hours Radio Button is removed. Dropdown behavior is as follows: 8:00 pm – 9:28 am

9:28 am – 4:00 pm

Order Type Selection.

Time In Force Contains the following options: Extended Hours (Appears for Limit Orders Only) Pre Session Post Session All Sessions Today Today’s Session Day Good ‘til Canceled Fill or Kill Immediate or Cancel On the Open On the Close

Order Type Selection.

The Options in this dropdown are: Market Order Limit Order Stop Loss Stop Limit Trailing Stop Loss ($) Trailing Stop Loss (%) Trailing Stop Limit ($) Trailing Stop Limit (%)

The Options in this dropdown are: Market Order Limit Order Stop Loss Stop Limit Trailing Stop Loss ($) Trailing Stop Loss (%) Trailing Stop Limit ($) Trailing Stop Limit (%) B

4:00 pm – 8:00 pm

Time In Force Contains the following options: Extended Hours (Appears for Limit Orders Only) Post Session Current and Post Session Today’s Session Day Good ‘til Canceled Fill or Kill Immediate or Cancel On the Open On the Close

Order Type Selection. The Options in this dropdown are: Market Order Limit Order Stop Loss Stop Limit Trailing Stop Loss ($) Trailing Stop Loss (%) Trailing Stop Limit ($) Trailing Stop Limit (%)

Time In Force Contains the following options: Extended Hours (Appears for Limit Orders Only) This Session Tomorrow’s Session Day Good ‘til Canceled Fill or Kill Immediate or Cancel On the Open On the Close

Cross Session Trading Warning Interaction Notes In the event that a user selects an Order Type of “Limit”, and selects an Extended Trading option in the Time in Force dropdown, but then changes the Order Type to anything other than “Limit”, the Time in Force will change to “Day”, and the user will see a warning message alerting them to the change.

Alert You have selected an order type that is not available in Extended Hours Trading. We have changed the Time In Force to “Day” for this order. OK

Cover Page

Page 1 of 3

Blotter Information Design

Trade Ticket UI Vision

TradingVision User Interface Documentation

Revised 3/3/2013

Information Design

Page 2 of 3

5 6 1 4 2 7

A checkmark icon designates a trade with no errors that has been accepted by the counterparty.

An error is designated by an error icon in a shaded pink cell. Rolling over the icon produces an informational rollover window. See Page 3.

Trade Ticket UI Vision

An alert is designated by an alert icon. Rolling over the icon produces an informational rollover window. See Page 3.

The Source column displays the trade system which originated the trade. Formatting is grid standard.

In the event of a compliance error, the compliance cell for the errored trade is shaded pink. The text should appear Bold.

The buy or sell side of the trade is indicated by a red (sell) or green (buy) gradient with BUY or SELL in all caps, bold, white lettering, centered in cell.

The Status column shows trade status in standard format.

TradingVision User Interface Documentation

Revised 3/3/2013

Error Rollover

Page 3 of 3

Rollovers have a red border if it designates a serious error. A list of errors is contained inside the rollover, each error having an error icon Rollovers have a yellow border if it designates an alert. A list of alerts is contained inside the rollover, each alert having an alert icon. Icons can be mixed if a single trade has both an error and an alert. The error formatting takes precedence if this is the case.

Trade Ticket UI Vision

TradingVision User Interface Documentation

Revised 3/3/2013

Non Delivery Team Project

The Future of Online Banking June 22, 2012

Online Banking Today â&#x20AC;˘

Each bank has its own website o Customers need to remember different log ins for each vendor. o There is no holistic view of the entire financial picture. o Current mobile apps like Mint and FinanceWorks allow the uses to view their financial situation, but not to affect any changes. o Customers need to purchase 3rd party software to manage their financial picture, but even that may not interface directly with institutions and most likely would not be available on a mobile device.

The result of this is that people interact with their finances less than they should due to the the sheer difficulty of seeing a complete picture.

In The Future • Retail Banking and Investment Banking will remain divided from a business perspective, but to the consumer it will be seamless. o The consumer will have a holistic view of their accounts. o The consumer will have a single application where they can access everything from any account held by any bank or institution. o The consumer will have this information available to them at any time and in any location. o The Business’s only need the incoming and outgoing data to record transactions.

• The app will be available online, on mobile devices, and as a standalone desktop app. Basic features will be available on all platforms, though deeper features may be limited to standalone apps. © COPYRIGHT 2011 SAPIENT CORPORATION | CONFIDENTIAL

A Holistic View of All Accounts • •

Users will be able to see all accounts both credits and debits held by any institution. Users will be able to transfer money from account to account even amongst separate institutions seamlessly.

Account Access • Users will be able to drill into any individual account or group accounts by function, ie. Retirement, college savings, money for bills, debts.

• Users will be able to apply goals and tracking to each account or groups of accounts, and drill out to •

see their overall financial picture. Users will be able to set rules for individual accounts.

o Rules can include setting min/max account balance thresholds and distributing the excess funds to other accounts.

Retail Banking and Investing from the Same App • Banks and Investment houses may be separated in terms of their business, but there is no need for the consumer to see the difference.

• A full featured app should include investment vehicle research as well as the ability to transfer money easily and seamlessly from a a savings account into a brokerage account. Alerts would warn the users of consequences or penalties as needed.

Available on all Platforms

Overview

Accounts

Accounts > Trends Detail

Accounts > Setting Rules

Goals

Goals > Set Goals

Title Screen

Accounts Settings

Dashboard

Account Overlay

Transfer

Goals

Set New Goal

Project: Document Mgt :

Account View - View Only

Date: Friday, July 08, 2011 UX Document: v1.0

This screen is a view only version of the previous page visible to those who are not assigned to this task.

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

DOCUMENTS

ACCT 1234 â&#x20AC;&#x201C; THE HARTFORD BOND Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Reports Requiring Fact Check Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed

Fact Check 1

Fact Check 2

Read

Approved

Action

Info Info

Pool Packages Report Code

Report Type

Status

Report Code

Pool Package

1234

Contributed

Approved

Info

Action

Task

Comments Comments

Info

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Comments

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Approved

Info

Action

Task

Approve

Comments

Comments Comments

Approve

Comments

Internal Reports

Page 1 of 19

Task

Comments

Read

Comments

Project: Document Mgt Client:

Account Step 2

Admin

| Product Portal

| Helpful Links

| Help

The cancel button will bring up a pop alerting the user that all changes will be lost unless the user assigns the task to another user.

The action drop down gives the user a choice of actions that can be applied prior to completion. The actions available are:

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

Date: Friday, July 08, 2011 UX Document: v1.0

DOCUMENTS

ACCT 1234 â&#x20AC;&#x201C; THE HARTFORD BOND

Complete Task

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Assign Next Task 1

CANCEL

BACK

SAVE

Edit (checks out document) Reject Replace (checks out document)

Assignment Instructions Assigned to Scott Cokely for Read Reports Requiring Fact Check Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed

Fact Check 1

Fact Check 2

Read

Approved

2 Info

3 Action

Info

Task

Comments

Read

Comments

If the document is checked out, the only action would be to view (dropdown disabled). Comments remain active even if the document is checked out. Documents are checked in through a prompt when the user closes the native viewer.

Pool Packages Report Code

Report Type

Status

Report Code

Pool Package

1234

Contributed

Approved

Info

Action

Task

Comments 3 Comments

Info

The info link brings up the report history and content info.

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Comments

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Approved

Info

Action

Task

Approve

Comments

Comments Comments

Approve

Comments

Internal Reports

BACK Page 2 of 19

NEXT Management System

Project: Document Mgt

Account Step 2 - Internal Reports Open

Date: Friday, July 08, 2011 UX Document: v1.0

Instructional text goes here. Instructional text goes here. Instructional text goes here. Reports Requiring Fact Check Fact Check 1

Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed

Fact Check 2

Read

Approved

Action

Info Info

Task

Comments

Read

Comments

Pool Packages Approved

Report Code

Report Type

Status

Report Code

Pool Package

1234

Contributed

Info

Action

Task

Comments Comments

Info

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Comments

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Approved

Info

Action

Comments

Task

Approve

Comments Comments

Approve

Comments

Internal Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Summary

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Misc

1234

Contributed

info

CANCEL

BACK

Page 3 of 19

SAVE

Project: Document Mgt

Document History

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

Home >

-:SAVED SEARCH:-

Advanced Search

REPORT PROPERTIES HOME

DOCUMENTS

A brief summary description placed here. A brief summary description placed here. A brief summary

ACCT 1234 – THE HARTFORD BOND description placed here. A brief summary description placed here. A brief summary description placed here. A

Complete Task

brief summary description placed here.

Assign Next Task

Report History

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Report Info CANCEL

Version History Date/Time

Updated V3 to V4

Joe Smith

Updated V2 to V3

mm-dd-yyyy 00:00:00

Reports Requiring Fact Check mm-dd-yyyy 00:00:00 Joe Smith Report Code

Report Type

ID Status mm-dd-yyyy 00:00:00 TAILOR Letter 1234 Contributed

BACK

SAVE

Comments

User

Assignment Instructions mm-dd-yyyy 00:00:00 Joe Smith Assigned to Scott Cokely for Read

Report Code

Date: Friday, July 08, 2011 UX Document: v1.0

Fact Check 1

Updated V1 to V2 Fact Check 2 Read Initial Contribution

Approved

Info

Action

Info

Task

Comments

Read

Comments

Audit History Pool Packages

Date/Time

Action

User

Comments

Report Code

Report Type mm-dd-yyyy ID Status 00:00:00

Approved Approved

Task Info Joe SmithAction Updated V3 to V4

Comments

Report Code

Pool Package mm-dd-yyyy 1234 Contributed 00:00:00

Read

Info Joe Smith

Updated V2 to V3

Comments

Joe Smith

Updated V1 to V2

Other External Reports

mm-dd-yyyy 00:00:00

Fact Check 2

mm-dd-yyyy 00:00:00 ID Status

Initial Contribution Fact Check 1 Joe Smith Action Approved Info Task

Report Code

Report Type

Report Code

Holdings

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Comments Comments Comments

CLOSE Approve

Comments Comments

Approve

Comments

Internal Reports

Page 4 of 19

The Document History tab contains the versioning history and audit history for the document. If a report does not require a workflow, it would not have an audit history section on this screen.

Document Info

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

Advanced Search

REPORT PROPERTIES HOME

-:SAVED SEARCH:-

Date: Friday, July 08, 2011 UX Document: v1.0

The properties link on each line item brings up the properties pop up. This popup has two tabbed area, one containing content info and the other containing document history. These popups are view only. The Content Info tab displays all of the document attributes that are searchable for the document broken up into sections for Report Attributes and Client Attributes.

DOCUMENTS

A brief summary description placed here. A brief summary description placed here. A brief summary

Home >

Project: Wellington Document Mgt Client: Wellington

ACCT 1234 – THE HARTFORD BOND description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here.

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Complete Task

Assign Next Task

Report History

Report Info CANCEL

BACK

SAVE

REPORT ATTRIBUTES Report Title Assignment Instructions Assigned to Scott Cokely for Read Reporting Level Account

Acct 1234 Holdings

Report Format

Account [Name ] - 1234

Reports Requiring Fact Check Product Code Report Code

Report Type

ID Effective Status Date

Report Code

TAILOR Letter

1234

Fact Check 1 10/17/10

Fact Check 2

Report Type

Holdings

Frequency

Quarterly

Report Code Read Approved Pool Participant

Contributed Due Date 10/27/10

PDF

Pool

Action

Info Info

Task

Comments

Read

Comments

Pool Packages Report Code

Report Type

Report Code

Pool Package

CLIENT ATTRIBUTES Approved ID Status 1234 Organization Contributed Region

Other External Reports

Info

IBM - 123456 Info

Action

Task

Relationship Manager

Comments Joe Smith Comments

Relationship Team

USA

Relationship

[Name] - 123456 Approved

Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

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Misc

1234

Uncontributed

Info

Comments

Info

Action

Task

Comments Comments Comments

CLOSE Approve

Comments Comments

Approve

Comments

Internal Reports

Page 5 of 19

NEXT Wellington | Document Management System

Project: Document Mgt

Replace Document

Date: Friday, July 08, 2011 UX Document: v1.0

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Using the replace action for any report brings up the replace report dialog. A replaced report contains all the same attributes as the original report. A space for comments is provided.

Advanced Search HOME

Home >

DOCUMENTS

1 The cancel button resets the dropdown that launched the popup. The user will have to reselect replace to see this pop again.

ACCT 1234 â&#x20AC;&#x201C; THE HARTFORD BOND

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Complete Task

Assign Next Task

CANCEL

BACK

Replace Document Assignment Instructions Assigned to Scott Cokely for Read

SAVE

A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here.

Reports Requiring Fact Check File Path: Fact Check 1

Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed Display Name:

Fact Check 2

Read

BROWSE Approved Info BROWSE Info

Action

Task

Comments

Read

Comments

Pool Packages Report Code

Report Type

Status

Report Code

Pool Package

1234

Contributed

1 CANCEL Approved Info

Action

SAVE Task

Comments Comments

Info

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Comments

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Approved

Info

Action

Task

Approve

Comments

Comments Comments

Approve

Comments

Internal Reports

BACK Page 6 of 19

Project: Document Mgt

Add Document

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

Date: Friday, July 08, 2011 UX Document: v1.0

DOCUMENTS

ACCT 1234 – THE HARTFORD BOND Add Document

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> A brief summary description placed here. A brief summary description Assigned placed here.to: Scott Cokely Task Due Date: <mm/dd/yyyy> A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here.

Complete Task

Assign Next Task

CANCEL BROWSE

File Path:

Assignment Instructions Assigned to Scott Cokely for Read

BACK

SAVE

Display Name:

Reports Requiring Fact Check Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed

CANCEL Fact Check 1

SAVE

Fact Check 2

Read

Approved

Action

Info Info

Task

Comments

Read

Comments

Pool Packages Report Code

Report Type

Status

Report Code

Pool Package

1234

Contributed

Approved

Info

Action

Task

Comments Comments

Info

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

Info

Comments

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Summary

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Report Code

Accumulations

1234

Contributed

Info

Comments

Report Code

Misc

1234

Uncontributed

Info

Comments

Approved

Info

Action

Task

Approve

Comments

Comments Comments

Approve

Comments

Internal Reports

Page 7 of 19

BACK

In a situation where there is a miscellaneous placeholder, the user may add a report by using the “add” action in the placeholder. The document would inherit all the client attributes for the package. The report attributes would be derived from the report name, and document type. Attributes that cannot be derived may be entered in the dialog. 1 The cancel button resets the dropdown that launched the popup. The user will have to reselect replace to see this pop again.

Project: Document Mgt

Account Step 3

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

The third step in the process allows the user to assign the task to another user or approve the task. 1

The user selects the next user to work on the package using the Assign dropdown. The dropdown will be populated with the members of the account team as specified in AIM. The user may overwrite this by typing into the dropdown triggering a type ahead function that will allow the user to assign the task and role to any employee in the greater relationship team. When a user is assigned in this manner, they take on the assigned role regardless of their assignment in AIM. For example, a user could be an RA for an account but get assigned work as a CSA for a different account. In this case, RA would be acting as a CSA and would only have the CSA actions available to them when they complete their task.

The Task dropdown allows the user to approve, reject, or assign to another user via the assignment dropdown. The dropdown actions follow this table:

Advanced Search HOME

Home >

DOCUMENTS

ACCT 1234 – THE HARTFORD BOND

1 Complete Task

Date: Friday, July 08, 2011 UX Document: v1.0

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Assign Next Task

CANCEL

BACK

SUBMIT

Assign for Fact Check 1 Assign for Fact Check 2 Assign For Read Approve

Assign Next Task

Instructional text goes here. Instructional text goes here. Report Code

Report Type

Assign to 1

Task Due Date dd-mm-yyyy

-SELECT-

dd-mm-yyyy

1234

-SELECT-

dd-mm-yyyy

1234

-SELECT-

dd-mm-yyyy

TAILOR Letter

1234

Report Code

Pool Package

1234

Report Code

Holdings

Report Code

Accumulations

Apply to All

-SELECT-

Report Code

-SELECT-

Task 2

If the user selected is “approve”, the assignee dropdown will grey out as no assignee is required. User’s cannot approve an account unless all of the check boxes marked “Approved” for all of the reports in the account are checked. If a user selects this action, an error will pop up to alert the user that the action cannot be completed until all of the check boxes are checked. 3

Add Comments

3 Comments:

Characters

Total: 500

CANCEL Page 8 of 19

BACK

SUBMIT

The comments section allows the team to leave comments about the account reports to other users. These comments are stored with the account package. Comments may be deleted by the originator only.

Project: Document Mgt

Client Package Step 1 HOME

Home >

DOCUMENTS

The Hartford Q4 Package

Review Package

Complete Task

1 Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

3 Assign Next Task

BACK

LOCK

DELIVER

Reports Requiring Review Report Code

Report Type

Status

Report Code

Exec Summary

1234E

Contributed

Checked Out By

Fact Check 1

Fact Check 2

Read

Approved Info

Accounts, Group and Portfolios Status

Assigned to

Task

Task Due Date

1234

In Progress

Joe Smith

Fact Check 2

Mm/dd/yyyy

1234

In Progress

Joe Smith

Read

Mm/dd/yyyy

1234

In Progress

Joe Smith

Approve

Mm/dd/yyyy

Account ID

Report Code

Report Type

Status

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

1234

Date: Friday, July 08, 2011 UX Document: v1.0

In Progress

Joe Smith

Approved

Read

Mm/dd/yyyy

Highlights Report Code

Report Type

Status

Report Code

Highlights

Contributed

Info

Report Code

Asset Allocation Overview

Contributed

Info

Report Code

Global Economic Highlights

Contributed

Info

Report Code

Holdings Authorization Form

Contributed

Info

BACK

NEXT Page 9 of 19

LOCK

DELIVER

The Lock button is only active once all accounts and client level documents are approved. The Deliver button is only active once a package has been locked. Once locked, the Lock button changes to an Unlock button.

Project: Document Mgt

Client Package Step 1 (alternate) HOME

Home >

Date: Friday, July 08, 2011 UX Document: v1.0

DOCUMENTS

This layout allows the user to assign tasks from the Client Package View Screen.

The Hartford Q4 Package

Review Package

Complete Task

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

3 Assign Next Task

BACK

ASSIGN

LOCK

DELIVER

Reports Requiring Review Report Code

Report Type

Status

Report Code

Exec Summary

1234E

Contributed

Checked Out By

Fact Check 1

Fact Check 2

Read

Approved Info

Accounts, Group and Portfolios Status

Assigned to

Task

Task Due Date

1234

In Progress

Joe Smith

Fact Check 2

Mm/dd/yyyy

1234

In Progress

Joe Smith

Read

Mm/dd/yyyy

1234

In Progress

Joe Smith

Approve

Mm/dd/yyyy

Account ID

Report Code

Report Type

Status

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

Report Code

Report Type

Contributed

1234

In Progress

Joe Smith

Approved

Read

Mm/dd/yyyy

Highlights Report Code

Report Type

Status

Report Code

Highlights

Contributed

Info

Report Code

Asset Allocation Overview

Contributed

Info

Report Code

Global Economic Highlights

Contributed

Info

Report Code

Holdings Authorization Form

Contributed

Info

BACK

ASSIGN Page 10 of 19

LOCK

DELIVER

Project: Document Mgt

Client Package Step 2

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

Date: Friday, July 08, 2011 UX Document: v1.0

DOCUMENTS

The Hartford Q4 Package

Review Package

Complete Task

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

3 Assign Next Task

BACK

CANCEL

Instructional text goes here. Instructional text goes here. Reports Requiring Fact Check Report Code

Report Type

Status

Report Code

Executive Summary

1234

Contributed

Fact Check 1

Fact Check 2

Read

Approved

Info

Action

info

Task

Comments

Read

Comments

Internal Reports Report Code

Report Type

Status

Info

Report Code

Holdings

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Summary

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Misc

1234

Contributed

info

CANCEL

Page 11 of 19

BACK

Project: Document Mgt

Client Package Step 3

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> GO

-:SAVED SEARCH:-

Search:

Advanced Search HOME

Home >

Date: Friday, July 08, 2011 UX Document: v1.0

DOCUMENTS

The Hartford Q4 Package

Review Package

Complete Task

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

Assign Next Task CANCEL

BACK

SUBMIT

BACK

SUBMIT

Assign Next Task

Instructional text goes here. Instructional text goes here.

Report Code

Report Type

Report Code

Executive Summary

1234

Assign to -SELECT-

Task -SELECTzz

Task Due Date

Apply to All

dd-mm-yyyy

Add Comments

Comments:

CANCEL

Page 12 of 19

If the “approve” task is complete, the assign dropdown will be read only and assigned to the package owner with the task of “lock and deliver”.

Project: Document Mgt

Pool Package Step 2

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

DOCUMENTS

WTC Pool 1234

Home >

Complete Task

Date: Friday, July 08, 2011 UX Document: v1.0

Assigned to: Scott Cokely

Task Due Date: <mm/dd/yyyy>

Assign Next Task

BACK

Instructional text goes here. Instructional text goes here. Reports Requiring Fact Check Report Code

Report Type

Status

Report Code

TAILOR Letter

1234

Contributed

Fact Check 1

Fact Check 2

Read

Approved

Info

Action

Info

Task

Comments

Read

Comments

Other External Reports Report Code

Report Type

Status

Report Code

Holdings

1234

Contributed

info

Comments

Report Code

Accumulations

1234

Contributed

info

Comments

Report Code

Summary

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Report Code

Accumulations

1234

Contributed

info

Comments

Report Code

Misc

1234

Contributed

info

Comments

Approved

Info

Action

Task

Approve

Comments

Comments Comments

Approve

Comments

BACK

Page 13 of 19

Project: Document Mgt

Pool Package Step 3

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

DOCUMENTS

WTC Pool 1234

1 Complete Task

Assigned to: Scott Cokely

Task Due Date: <mm/dd/yyyy>

Assign Next Task CANCEL

BACK

SUBMIT

BACK

SUBMIT

Assign Next Task

Instructional text goes here. Instructional text goes here. Report Code

Date: Friday, July 08, 2011 UX Document: v1.0

Report Type

Assign to

Task

Task Due Date

Apply to All

Report Code

TAILOR Letter

1234

-SELECT-

dd-mm-yyyy

Report Code

Pool Package

1234

-SELECT-

dd-mm-yyyy

Report Code

Holdings

1234

-SELECT-

dd-mm-yyyy

Report Code

Accumulations

1234

-SELECT-

dd-mm-yyyy

Add Comments

Comments:

CANCEL

Page 14 of 19

Project: Document Mgt

Finalize Package

FINALIZE PACKAGE THE HARTFORD Q4 HOME

Home >

Review Package

DOCUMENTS

The Hartford Q4

Package Owner: Lara Scott Package Due Date: <mm/dd/yyyy> Assigned to: Scott Cokely Task Due Date: <mm/dd/yyyy>

CLIENT REPORTS Complete Task Assign Next Task

Report

Executive Summary

BACK

LOCK

DELIVER

ACOUNTS, PORTFOLIOS AND GROUPS

Report Code

Report Type

þID

Report Code

Exec Summary

Tab Status Name

1234E

Report Checked Out By

Fact Account Check 1

TAILOR LETTER

Task Due Date Task Fixed Income Rerport 1234

Accumulations

1234

In Progress

Joe Smith

1234

In Progress

Joe Smith

1234

In Progress

Joe Smith

Holdings

Portfolio 123456 Package Approved

Report Code

Report Type

Status

Report Code

Report Type

Contributed

Report Code

Report Type

Report Code

Report Type þ

Contributed

Report Code

Report Typeþ

Contributed 7865

Report Code

Report Type

Contributed

1234

Report Code

Fact Check 2

Mm/dd/yyyy

Read

Mm/dd/yyyy

Approve

1234 1234

Mm/dd/yyyy

1123445

1234

6574

Read

þ þ

Executive Summary

Report Type

1123445

4567

Report

Mm/dd/yyyy

Status Executive Summary

Report Code

Highlights

Contributed

Info

Report Code

Executive Summary þ Overview Asset Allocation Contributed

Info

Report Code

Global Economic Contributed Executive Summary þ Highlights

Info

Report Code

Holdings Authorization Form

Info

Contributed

CANCEL

The user uses the arrows on the right side of the popup to move each section. Only entire sections can be moved. The user may not rearrange individual reports within a section or take reports out of a section and put them in another section.

The “Generate Pdf” button creates the master pdf that will be used in all delivered packages that are not further customized.

Contributed

Report Type Contributed HIGHLIGHTS In Progress Joe Smith

Highlights

Approved Info

Assigned to

Report Code

Read

Contributed

Status

FactPortfolio Check 2

1234

Accounts, Group and Portfolios

The finalize package dialog lets the user rearrange the reports within the package to suit their client’s preference. This is the master arrangement. Recipients may have their packages customized as well through the customize package dialog.

The ENTIRE account section is considered one section. Accounts may be reordered within it.

Reports Requiring Review

Account ID

Date: Friday, July 08, 2011 UX Document: v1.0

RESET

NEXT BACK GENERATE PDF

Page 15 of 19

LOCK

DELIVER

Project: Document Mgt

Package Deliver 1

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> GO

-:SAVED SEARCH:-

Search:

Advanced Search HOME

Home >

The package delivery page is divided into three tabs to account for the three primary delivery methods for delivering packages. Each of these tabs has their own delivery button to execute the delivery and operates independently of the other sections. 1

DOCUMENTS

WTC Pool 1234

Email Delivery

Print Delivery

All users with checked check boxes to the left of their name will receive the default package. no package at all, the user will uncheck the check box.

Customize Client Package

InSite Delivery

If the user chooses to customize a package for an individual recipient, they would click on the receive custom checkbox which would uncheck the recipient checkbox and bring up a dialog to customize the recipients package. After the package is generated, a grayed out “Deliver Custom” button would appear for the recipient. The status of this package would read “Pending” When the pdf is ready, the status will change to “Ready for Delivery”, and the “Deliver Custom” button would be activated.

Email Recipients Recipient

Receive Custom

Customized Date

Custom Status

Highlights

Asset Allocation Overview

mm/dd/yyyy

Ready for delivery

Deliver Custom

Global Economic Highlights

Holdings Authorization Form

The Recipients section allows the user to add and delete recipients, and begin the customization path for each recipient.

Due Date <mm/dd/yyyy>

Date: Friday, July 08, 2011 UX Document: v1.0

Email Settings Sender CC

Browse

BCC

Browse

Subject

The Sender drop down allows the user to select from their relationship team with the option to type ahead to select from anyone in GRG. CC’s are selected from Wellington’s exchange address, but can be typed into to send to non-Wellington addresses.

Hartford Q4 Reporting Package The BCC can only be selected from Wellington addresses.

replace Attachment: Hartford_Q4_2011.pdf Email Text

The Email Settings section allows the user to select the sender, CC and BCC’s, customize the subject line and message, and select a signatory line for the email.

The body of the email is defaulted to Palintino 11 pt font. This cannot be changed. The use may delete the sample text and type their own email. Spell Check functionality is provided.

Please find attached the monthly reporting package as of 31 March 2011 for the Massachusetts Audubon Society portfolio(s) under our management.

The signatory line allows the user to select their sign off from the following options:

Please contact Jane Fernandez at 1-617-790-7161, if you have any questions regarding this information.

None Job Title Corporate Title All (Job and Corportate Title)

Regards, Signatory

The titles are derived from the Sender that the user has selected above. If the user would like to use a different signature, they may select “None” and type their signature into the body of the email.

Deliver

Page 16 of 19

Project:Document Mgt

Package Deliver 2

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

Home >

All users with checked check boxes to the left of their name will receive the default package. no package at all, the user will uncheck the check box.

DOCUMENTS

WTC Pool 1234

Email Delivery

Due Date <mm/dd/yyyy>

Print Delivery

For recipients that are not going to be sent a customized package, the user may specify how many bound or unbound reports a each recipient may receive.

Customize Client Package

InSite Delivery

The Recipients section allows the user to add and delete recipients, and begin the customization path for each recipient.

Email Recipients Recipient þ

The Recipients section allows the user to add and delete recipients, and begin the customization path for each recipient.

-:SAVED SEARCH:-

Advanced Search HOME

Date: Friday, July 08, 2011 UX Document: v1.0

Receive Custom

Bound Copies

Unbound Copies

Customized Date

Custom Status

Highlights

-SELECT-

Asset Allocation Overview

-SELECT-

mm/dd/yyyy

Ready for delivery

Deliver Custom

Global Economic Highlights

-SELECT-

Holdings Authorization Form

-SELECT-

2 ?

Print Settings Package Document Hartford_Q4_2011.pdfreplace

Deliver

Page 17 of 19

The print settings section allows the user to see the actual document that will be printed as well as select to pick up any changes since the last print.

Project: Document Mgt

Package Deliver 3

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> Search:

-:SAVED SEARCH:-

Advanced Search HOME

Home >

DOCUMENTS

WTC Pool 1234

Email Delivery

Print Delivery

Due Date <mm/dd/yyyy>

Customize Client Package

InSite Delivery

Insite Settings þ

Report Code

Report Name

Acct ID

Client

Express Delivery

Report Code

Holdings – Summary Only

1234

Yes

Report Code

Holdings - Detail Only

1234

Yes

Report Code

Statistical Account Summary over Time

1234

Report Code

Purchase and Sale Report – Summary Only

1234

Yes

Report Code

Purchase and Sale Report – Detail Only

1234

Yes

Date: Friday, July 08, 2011 UX Document: v1.0

Report Code

Transaction Report – Summary Only

1234

Yes

Report Code

Transaction Report – Detail Onlu

1234

Report Code

Credit Quality Over Time Report

1234

Yes

Report Code

Holdings – Summary Only

4567

Yes

Report Code

Holdings - Detail Only

4567

Yes

Report Code

Statistical Account Summary over Time

4567

Report Code

Purhase and Sale Report – Summary Only

4567

Yes

Report Code

Holdings – Summary Only

4567

Yes

Report Code

Holdings - Detail Only

4567

Yes

Report Code

Statistical Account Summary over Time

4567

Report Code

Purhase and Sale Report – Summary Only

4567

Yes

Deliver

Page 18 of 19

The InSite tab allows the user to select which documents will be published to InSite. Only InSite eligible documents will appear in this dialog. The default setting for all documents would be to be delivered to InSite, but the user may choose to not deliver a particular document by unchecking the checkbox to the left of the document.

Project: Document Mgt

Add recipient

Date: Friday, July 08, 2011 UX Document: v1.0

Adding a recipient is done through a simple dialog.

Admin

| Product Portal

| Helpful Links

| Help

Welcome <John Smith> GO

-:SAVED SEARCH:-

Search:

Advanced Search HOME

Home >

DOCUMENTS

WTC Pool 1234 Add Recipient

Email Delivery

Print Delivery

Email Recipients

-SELECT-

Highlights

Custom Status -

Ready for delivery

Deliver Custom

ADD NEW CONTACT mm/dd/yyyy

Asset Allocation Overview Global Economic Highlights

First Name:

Holdings Authorization Form

Last Name: Email Settings

Customize Client Package

InSite Delivery A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here. A brief summary description placed here.

ADD EXISTING CONTACT Receive Custom Customized Date

Recipient Ăž

Email Address: Sender

Company:

Browse

BCC

Browse

Subject

Hartford Q4 Reporting Package

CANCEL

replace Attachment: Hartford_Q4_2011.pdf Email Text

Please find attached the monthly reporting package as of 31 March 2011 for the Massachusetts Audubon Society portfolio(s) under our management. Please contact Jane Fernandez at 1-617-790-7161, if you have any questions regarding this information. Regards,

Signatory

Deliver

Page 19 of 19

The dropdown allows the user to add a name of an existing contact through the Pivotal database. Once added, the information will populate the fields below. The user could also type a new contact into the fields.

Modifications to RALS Page 4-way test - Control (Top of Page) Objective Currently our RAL page has UI which does not clearly communicate tot he customer the need to take action: accept the order with or wihtout RALs. There is an evidence that customers getting to the RAL page in the payment flow see it as the order confirmation and they drop-off from the site, or deviate from the payment flow. The goal of the test is to call customer fo the action of clicking "next" button on the RAL page with one of the options (without or with RALs) We should consider: Message stating that the order is not confirmed and that customer still has to make last step shall be VERY prominent and eye-catching The message should clearly state what exactly step has to be made to confirm the order. For example: "Please PRESS the CONFIRM button to place the order". The Confirm button should contain "PLACE" or "CONFIRM" and "ORDER" messaging and stay on the screen independently of resolution The RAL up-sell area shall have equal prominence and visibility as it is now or better Customer Goals Understand that their order isnâ&#x20AC;&#x2122;t place Complete their checkout. Add a desired product to their order Review their order before they place it. Easily modify their order Business Goals Increase AOV Prevent Dropoff Reduce confusion Create a strong call to action Primary goal for project is to create the strong call to action. Secondary goal is to address other customer behaviors. Interaction Notes: This is the top half of the existing design

Last modified: 4/15/2010 / SL

Page 1 of 8

Modifications to RALS Page 4-way test - Control (Bottom of Page)

Interaction Notes: This is the bottom half of the existing design

Last modified: 4/15/2010 / SL

Page 2 of 8

Modifications to RALS Page 4-way test - Test 1 – New Layout

Interaction Notes: The new layout takes out the multiple calls to action and multiple cart areas and includes the following features: A

The progress indicator is changed to indicate the purpose of the page COPY FPO

The page title is changed to indicate the purpose of this page. COPY FPO

A Place Order

Review and Place Your Order C

Your order will not be processed until you click the “Place Order” button below.

D Hurry for this great deal! D E Add to my Order

continue to: If checked P.4

E Place Order

By clicking the “Place Order” button you are agreeing to the pricing above and to our Terms and Conditions. Orders may or not be changed or cancelled once placed.

Last modified: 4/15/2010 / SL

Place Order

The callout is altered to specifically call out that the user’s order has not been processed yet and will not be processed until they click the “Place Order Button” This area must be very prominent. Copy is FPO Copy indicating that the RAL is a special offer is added to the RAL section replacing the “Place Your Order” from the original layout. Copy is FPO The RAL offer is added with a checkbox. Selecting the checkbox unhides the cart control containing the user’s product as well as the RALS and hides the cart control without the RALS.

A “Place Order” button is placed below the cart area.

The disclaimer text is changed to reflect the proper button copy

continue to: Confirmation Page

Page 3 of 8

Modifications to RALS Page 4-way test - Test 1 – New Layout, RALS added to Order A

The RAL offer is added with a checkbox. Unselecting the checkbox hides the cart control with the RALS and unhides the cart control with the RALS

Place Order

Review and Place Your Order Your order will not be processed until you click the “Place Order” button below.

Hurry for this great deal!

Add to my Order

continue to: If unchecked P.3

Place Order

By clicking the “Place Order” button you are agreeing to the pricing above and to our Terms and Conditions. Orders may or not be changed or cancelled once placed.

Last modified: 4/15/2010 / SL

Place Order

continue to: Confirmation Page

Page 4 of 8

Modifications to RALS Page 4-way test - Test 2 – New Layout with Edit Order Link

This test is the same as Test 1 with the addition of a “Edit My Order” link which takes the user to the Cart.

Place Order

Review and Place Your Order Your order will not be processed until you click the “Place Order” button below.

Hurry for this great deal!

Add to my Order Place Order

Edit My Order continue to: By clicking the “Place Order” button you are agreeing to the pricing above and to our Terms and Conditions. Orders Cart may or not be changed or cancelled once placed.

Last modified: 4/15/2010 / SL

Place Order

Page 5 of 8

Modifications to RALS Page 4-way test - Test 2 – New Layout with Edit Order Link, RALS Added to Order

This test is the same as Test 1 with the addition of a “Edit My Order” link which takes the user to the Cart.

Place Order

Review and Place Your Order Your order will not be processed until you click the “Place Order” button below.

Hurry for this great deal!

Add to my Order

Place Order

Edit My Order

continue to: By clicking the “Place Order” Cartbutton you are agreeing to the pricing above and to our Terms and Conditions. Orders may or not be changed or cancelled once placed.

Last modified: 4/15/2010 / SL

Place Order

Page 6 of 8

Modifications to RALS Page 4-way test - Test 3: Existing Layout with Edit Order Link (Top of Page)

Edit My Order

This test is the same as the control with the addition of a â&#x20AC;&#x153;Edit My Orderâ&#x20AC;? link under each cart area which takes the user to the Cart.

continue to: Cart

Last modified: 4/15/2010 / SL

Page 7 of 8

Modifications to RALS Page 4-way test - Test 3: Existing Layout with Edit Order Link (Bottom of Page)

This test is the same as the control with the addition of a â&#x20AC;&#x153;Edit My Orderâ&#x20AC;? link under each cart area which takes the user to the Cart.

Edit My Order continue to: Cart

Last modified: 4/15/2010 / SL

Page 8 of 8

Consumer KIFG I&A Gallery V1 Objective Optimize the I&A gallery using ideas brought up during a brainstorming session. Ideas A

Matching Envelopes are available for all sets!

Using links instead of icons Making the color selector more prominent Removing matching envelope callout Customer goals Get the invitations they want Business goals Increase click through Increase CR Next steps Scott will create wireframes for 2 versions: 1. Existing Version with matching envelope and pricing text removed. Matching envelope language moved to the dynamic text area. 2. New version using options dropdown, and color picker. Matching envelope language moved to the dynamic text area.

Last modified: 2/22/2010 / SL

Matching Envelope language moved to the dynamic text area of the page.

Page 1 of 4

Consumer KIFG I&A Gallery V2

B Matching Envelopes are available for all sets! C

Matching Envelope language moved to the dynamic text area of the page. View Larger Icon and Options dropdown replace the series of icons. This is the same as most other product galleries. A color picker is added to products which have multiple color variations. The colored squares match the color variations. This color picker behaves in the following way: On Rollover â&#x20AC;&#x201C; Live preview image changes to the color that is being rolled over. Outline is thickened to provide visual affordance of selection. On Rollout â&#x20AC;&#x201C; Live preview image returns to the default state.

B D

Last modified: 2/22/2010 / SL

On Release - Live preview stays on the color clicked. If the larger preview is selected after a color is selected, the larger preview will be of that color combination. Outline remains thick for visual affordance. Bookmark and Matching set options are moved to the options dropdown, as in other product galleries. Both icons and text are used to identify links.

Page 2 of 4

Consumer KIFG I&A Gallery V3

B Matching Envelopes are available for all sets! C

More Colors

continue to: Color Pop (p.4)

More Colors

Matching Envelope language moved to the dynamic text area of the page. View Larger Icon and Options dropdown replace the series of icons. This is the same as most other product galleries. The color icon is moved below the product and a â&#x20AC;&#x153;More Colorsâ&#x20AC;? link is added. The link and Icon use the same behavior as the current gallery. P.4

Bookmark and Matching set options are moved to the options dropdown, as in other product galleries. Both icons and text are used to identify links.

More Colors

Last modified: 2/22/2010 / SL

More Colors

Page 3 of 4

Consumer KIFG I&A Gallery V3 - Pop

Color picker popup. Note: currently this feature does not include a screen on the background. It probably should as a best practice for visibility.

Matching Envelopes are available for all sets!

More Colors

Last modified: 2/22/2010 / SL

More Colors

Page 4 of 4

Mutli-Variant Multi-Product Page Skeleton-Primary Variation Only. Objectives: Create a new template for product pages with multiple product variations. Pages effected include: Photobooks - http://www.vistaprint.com/flip-photobooks.aspx Calendars - http://www.vistaprint.com/personalizedcalendars.aspx?xnav=LeftItem&xnid=PromotionEvents&dng=11 41733

Multiproduct Photo Flip Book/Photobook Image

T-shirts (as with addition of ladies they are 3 product variations): http://www.vistaprint.com/t-shirts-multiproduct.aspx?xnav=LeftItem&xnid=PromotionEvents&dng=1141 733 Magnets: http://www.vistaprint.com/custom-magnets-multi.aspx

4"x6" Photo Flip Books Icon

5"x7" Photo Flip Books

8"x8" Photo Books

8"x11" Photo Books

12"x12" Photo Books

Icon

continue to: Photo Flip Books Single Product Page

Flyer page: http://www.vistaprint.com/ flyers.aspx?xnav=LeftItem&xnid=MarketingSignage&dng=11417 20 holiday cards: http://www.vistaprint.com/holiday-christmascards.aspx?xnav=LeftItem&xnid=InvitationsAnnouncements&dn g=1142051

Details and Pricing

Tote bags: http://www.vistaprint.com/totebags.aspx?xnav=LeftItem&xnid=GiftsFun&dng=1142048 Business Goal: Increase CR Increase AOV continue to: Gallery

Expand Product Mix Improve Usability Customer Goal: Compare products select the product they want and quickly move to design it Interaction Notes: Each primary variant of a product will be represented as a tab on the product page. Secondary variations are represented as individual product listings beneath the tab. This design shows a product set with 5 primary variations and no secondary variation on the product selected. Most Products will use this design.

Last modified: 3/31/2010 / SL

Page 1 of 3

Mutli-Variant Multi-Product Page Skeleton-Secondary Variation, Offsite Design Experience Interaction Notes: This design applies for all products where the design experience happens offsite and there is no gallery for the users to go to. Currently Photobooks are the only product of this type.

Multiproduct Photo Flip Book/Photobook Image

4"x6" Photo Flip Books Icon

5"x7" Photo Flip Books

8"x8" Photo Books

8"x11" Photo Books

12"x12" Photo Books

Icon

Details and Pricing

continue to: Photobooks Single Product Page

continue to: Design Experience

Last modified: 3/31/2010 / SL

Page 2 of 3

Mutli-Variant Multi-Product Page T-shirts – Secondary Variation, Design Experience On-Site Interaction Notes: This design applies for all products where there are multiple secondary variations and where the design experience happens onsite. This design shows T-shirts with Primary Variations (Long sleeve, Short sleeve, Ladies), and 2 secondary variations (color).

Multiproduct Photo Flip Book/Photobook Image

Short Sleeve T-shirts

Long Sleeve T-shirts

Icon

NOTE: T-shirts do not currently have a multiproduct page so copy will need to be written for these products. THIS COPY IS FPO. This will need to be done for any product which does not currently have a multiproduct page. Products with a multiproduct page will take copy and images directly from the multiproduct page.

Ladies T-Shirts Icon

Details and Pricing Details and Pricing

continue to: Photobooks Single Product Page

Short Sleeve T-Shirt White Starting at $XX.XX With our fully customizable t-shirts, you’ll be comfortable and look great – wherever you go. continue to: Short Sleeve Tshirt gallery with all designs in white

Ladies T-shirt Image

Short Sleeve T-Shirt - Black Starting at $XX.XX Make a statement with a black T-shirt and add that personal touch with your photo or logo. continue to: Short Sleeve Tshirt gallery with all designs in Black

Last modified: 3/31/2010 / SL

Ladies T-shirt Image

Page 3 of 3

Basic Customers

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%Assets 0.23 0.04 0.02 0.31 0.21

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Perf. +0.23 +5.44 -0.02 +2.11 -1.20

Symbol AAPL FOXCO... VZ INTC T

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