bank-affiliated business process description. 2 1. bank-affiliated business process 1.1 precondition...

Bank-affiliated Busi-ness Process De-

scription

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Bank-affiliated Business Process Description

1. Bank-affiliated Business Process1.1 Precondition - Securities firm makes an agreement with more than one bank in associated with ‘affiliated business,’ and counterPart bank should be systemati-cally equipped to facilitate online business with the affiliated securities firm. - Securities firm opens 2 separate accounts(one for the firm’s own, the other for managing its customers’ fund respectively) with counterPart bank under the name of the firm.(The Firm-held separately managed account is similar to escrow account or agency account in concept, but slightly differ-ent functionally) - All customers who wish to trade securities open accounts(in KIP, USD) with the bank with which securities firm is affiliated . (The bank has to make sure that the account is linked to securities firm, when securities firm’s customer opens a bank account.) - A customer who has opened an account with the bank, visits a branch of affiliated securities firm in person along with ID card and passbook issued by his/her main bank, then opens a securities account and receives securities passbook.

1.2 Deposit - The fund to trade securities is to be deposited into client’s bank account which is opened under client’s name. And customer requests transfer (fund in his/her bank account) to Securities Firm’s bank account for customers’ fund management which is opened under the firm’s name (The bank transfers fund from customers’ bank account to the securities firm’s bank account for customers’ fund management, as is explained on page 5(4.Deposit Notification), and then sends deposit message to securities firm.) - On receiving ‘deposit’ message (from the bank), securities firm processes deposit into customer’s securities account, and then sends response message to the bank. - Customer may trade stock(bond) through securities firm, after transmit request is normally processed - Customer may print out deposit details on the passbook at the securities firm after sending fund 1.3 Withdrawal - If customer needs to withdraw deposited fund from securities firm, he/she visits bank in person and requests withdrawal to his/her bank account . (If bank finds that customer’s account is linked to securities firm, it confirms findings in accordance with the procedures illustrated on page 6(5.withdrawal confirmation request); confirms by sending message ‘Inquiry of Securities Account Name’ of customer, then sends ‘Withdrawal’ mes-sage to securities firm. After receiving ‘withdrawal confirmation’ response from securities firm, the bank transfers fund from the firm-held client’s ac-count to client’s bank account ) - Customer withdraws after confirming deposit in his/her account . - If securities firm receives ‘inquiry of account name’ message, it checks customer’s information and notifies bank of customer name and withdraw-able amount by means of response message. - If securities firm receives ‘withdrawal request’ message (from bank), it sends response message to the bank after checking withdrawable amount. - Customer may print out withdrawal details on the passbook, after making a withdrawal at securities firm(by visiting in person) .

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2. Securities Firm’s Message Requesting Inquiry of Bank Account Balance (Request : 02001100, Response : 02101100)

SECURITIES BANK

DB

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① Securities Firm sends ‘Bank Account Balance Inquiry’ (02001100)

② Bank processes ‘Balance Inquiry’ of the account requested ③ Bank sends response message for ‘Balance Inquiry’

(02101100)

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* Sending Message for Balance Inquiry [Example] When the 0001 securities firm requests 0001 Bank for ‘Balance Inquiry’ on June 21, 2010 at 14 hours 21 minutes 13 seconds

0400S0001S02001100000000000120100621142113 20100621 0001023456233454 Hong Gil Dong K || || | | | | | | | | | || | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] Securities Firm => [S] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Send => [S] ⓔ : Common Part Message Type[4 Byte] => [0200] ⓕ : Common Part Message Classification[4 Byte] => [1100] ⓖ : Common Part Transaction Reference Number[10 Byte] 1 => [0000000001] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] Space => [ ] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Balance[15 Byte] Space => [ ] ⓠ : Individual Part Filler[144 Byte] Space => [ ]

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* Balance Inquiry Response Message [Example] The bank’s response to the balance inquiry request, which was made by 0001 Securities Firm to 0001 Bank on June 21, 2010 at 14 hours 21 min -utes 13 seconds. : Balance 1,234,567,890 KIP (In case of USD, Last 2 digits denotes lesser value than a dollar)

0400B0001R02001100000000000120100621142113000020100621 0001023456233454 Hong Gil Dong K000001234567890 || || | | | | | | | | | || | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] BANK => [B] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Reply => [R] ⓔ : Common Part Message Type[4 Byte] => [0210] ⓕ : Common Part Message Classification[4 Byte] => [1100] ⓖ : Common Part Transaction Reference Number[10 Byte] 1 => [0000000001] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] 0000(Normal) => [0000] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Balance[15 Byte] Space => [000001234567890] ⓠ : Individual Part Filler[144 Byte] Space => [ ]

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3. Bank’s Message Requesting Inquiry of Securities Account Name (Request: 02001200, Re-

sponse: 02101200)

SECURITIES BANK

DB

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① Bank sends ‘Securities Account Inquiry’ (02001200) ② Securities Firm inquires name and withdrawable amount of account requested ③ Securities Firm sends response message for ‘Securities Account Inquiry’(02101200)

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* Sending Message for ‘Account Name Inquiry’ [Example] When the 0001 bank requests 0001 securities firm for Account Name Inquiry’ on June 21, 2010 at 14 hours 21 minutes 13 seconds.

0400B0001S02001200000000000220100621142113 20100621 0001023456233454 || || | | | | | | | | | || | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] Bank => [B] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Send => [S] ⓔ : Common Part Message Type[4 Byte] => [0200] ⓕ : Common Part Message Classification[4 Byte] => [1200] ⓖ : Common Part Transaction Reference Number[10 Byte] 2 => [0000000002] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] Space => [ ] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [ ] ⓞ : Individual Part Currency Type[1 Byte] K => [ ] ⓟ : Individual Part Withdrawable Amount[15 Byte] Space => [ ] ⓠ : Individual Part Filler[144 Byte] Space => [ ]

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* Response message for ‘Account Name Inquiry’ [Example] The securities firm’s response to the ‘account name inquiry’ request, which was made by 0001 bank to 0001 securities firm on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Withdrawable Amount 1,234,567,890 KIP (in case of USD, last 2 digits denote lesser value than a dollar)

0400S0001R02001200000000000220100621142113000020100621 0001023456233454 Hong Gil Dong K000001234567890 || || | | | | | | | | | || | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] Securities Firm => [S] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Reply => [R] ⓔ : Common Part Message Type[4 Byte] => [0210] ⓕ : Common Part Message Classification[4 Byte] => [1200] ⓖ : Common Part Transaction Reference Number[10 Byte] 2 => [0000000002] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] 0000(Normal) => [0000] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Withdrawable Amount[15 Byte] Space => [000001234567890] ⓠ : Individual Part Filler[144 Byte] Space => [ ]

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4. Deposit Notification(Request: 02002100, Response: 02102100) - Eligible after Opening Bank Account and Securities Account. Passbook is required to open Securities Account.

고객

SECURITIESBANK

DB DB

① Customer visits Bank in person(deposits into his/her bank account), and asks Bank to transfer deposited fund to Securities Firm’s bank account which is opened for separately managing customers’ fund.

② Bank checks accounts and makes a transfer between bank accounts (from Customer’s bank account to Secu-rities Firm’s bank account for customer fund management)

③ Bank sends ‘Deposit into Securities Account’ message (02002100) ④ Securities Firm updates deposit in securities account ⑤ Securities Firm sends response message of ‘Deposit Confirmation’ (02102100)

* Unless reception has been properly processed at the Bank, even after response message of ‘Deposit Confirma-tion’ of was sent, Bank will resend ‘Deposit into Securities Account’ message⑤

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Bank Linking Process Description

Bank Deposit Screen Illustration (Illustration below is based on the assumption that the bank and securities firm are linked to one another exclusively (on a one on one basis) - The illustrated screen below should be developed by the Bank. Once the spaces on the screen have been filled, fund transfer from customer’s bank ac -count into the mother account(brokerage account) of securities firm is made, and then ‘Deposit Notification’ message is sent to securities firm - Illustration below is based on the assumption that the bank and securities firm are linked to one another exclusively (on a one on one basis)

Deposit A/C No. 023456233454 Check Deposit A/CA/C Password ****

Hong Gil DongDeposit A/C Name

Currency K (K : LAO Kip, D : USD)

Deposit Amount 1,234,567,890

Save

How to use ‘Deposit’ screen1. Enter the number of customer’s bank account, in which customer’s fund is deposited, into the space provided for ‘Deposit Account Number.’2. Verify account by entering customer’s bank account password into the space provided for ‘Account Password’ (Bank should verify by itself)3. When ‘Check Deposit Account’ Button is clicked, ‘Account Name Inquiry’ message is sent to Securities Firm4. Account name and currency type, out of responses received from Securities Firm, are displayed on the screen. (Those items in question are not allowed to manually input)5. After entering deposit amount(within customer’s bank account balance) and click ‘Save’ button.6. Make a fund transfer to the designated mother account(brokerage account) in securities firm; fund withdrawn from customer’s bank account, and then send ‘ Deposit

Notification’ message to Securities Firm

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* Sending Message for ‘Deposit Notification’[Example] When 0001 bank requests 0001 securities firm for ‘Deposit Notification’ on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Deposit Amount 1,234,567,890 KIP (in case of USD, last 2 digits denote lesser value than a dollar)

0400B0001S02002100000000000320100621142113 20100621 0001023456233454 Hong Gil Dong K000001234567890 || || | | | | | | | | | || | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] BANK => [B] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Send => [S] ⓔ : Common Part Message Type[4 Byte] => [0200] ⓕ : Common Part Message Classification[4 Byte] => [2100] ⓖ : Common Part Transaction Reference Number[10 Byte] 3 => [0000000003] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] Space => [ ] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Transaction Amount[15 Byte] 1,234,567,890Kip => [000001234567890] ⓠ : Individual Part Balance after Transaction[15 Byte] 1,234,567,890Kip => [ ] ⓡ : Individual Part Securities Account Number[6 Byte] 012345 => [ ] ⓢ : Individual Part Filler[123 Byte] Space => [ ]

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• Response Message for Deposit Notification[Example] The securities firm’s response to the ‘Deposit Notification’ request, which was made by 0001 bank to 0001 securities firm on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Deposit Amount 1,234,567,890 KIP (in case of USD, last 2 digits denote lesser value than a dollar)

0400B0001R02002100000000000320100621142113000020100621 0001023456233454 Hong Gil Dong K000001234567890000001234567890012345 || || | | | | | | | | | || | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ


ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Transaction Amount[15 Byte] 1,234,567,890Kip => [000001234567890] ⓠ : Individual Part Balance after Transaction[15 Byte] 1,234,567,890Kip => [000001234567890] ⓡ : Individual Part Securities Account Number[6 Byte] 012345 => [012345] ⓢ : Individual Part Filler[123 Byte] Space => [ ]

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5. Withdrawal Confirmation Request (Request: 02002200, Response: 02102200) - Transferable within the amount available to withdraw in Securities Account.

고객

SECURITIESBANK

DB DB

① Securities Firm Customer visits bank in person and request transfer to his/her bank account ② Bank checks accounts ③ Bank sends ‘Inquiry of Account Name’ message (02001200) ④ Securities Firm checks accounts and computes withdrawable amount ⑤ Securities Firm sends message responding to ‘Inquiry of Account Name’ (02101200) ⑥ Bank sends ‘Withdrawal Request’ message (02002200) ⑦ Securities Firm updates deposit in securities account (Makes a Withdrawal) ⑧ Securities Firm sends message responding to ‘Withdrawal Confirmation’ (02102200) ⑨ Bank makes a transfer between bank accounts (from securities firm’s bank account to customer’s bank account) ⑩ Bank processes withdrawal(Customer)

• Unless receipt has been properly processed at Bank, even after the response message of ‘Withdrawal Confirmation’ of was ⑧sent, Bank will resend ‘Withdrawal Request’ message

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Bank Linking Process Description

Bank Withdrawal Screen Illustration

(Illustration below is based on the assumption that the bank and securities firm are linked to one another exclusively (on a one on one basis)) -The illustrated screen below should be developed by the Bank. Once the spaces on the screen have been filled, ‘Withdrawal Request’ message is sent to securities firm and upon receiving ‘normal’ response to the request, the fund withdrawn from mother account(brokerage account) in securities firm is transferred into the cus -tomers bank account

Withdrawal A/C No. 023456233454 Check Withdrawal A/CA/C Password ****

Hong Gil DongWithdrawal A/C Name

Currency K (K : LAO Kip, D : USD)

Withdrawal Amount 1,234,567,890

Save

How to use the ‘withdrawal’ screen 1. Enter the number of customer’s bank account, into which customer’s fund is going to be deposited, into the space provided for ‘ Withdrawal Account Number.’ 2. Verify account by entering customer’s bank account password into the space provided for ‘Account Password’ (Bank should verify by itself)

3. When ‘Check Withdrawal Account’ Button is clicked, ‘Account Name Inquiry’ message is sent to Securities Firm 4. Account name, currency type, and withdrawable amount out of responses received from Securities Firm, are displayed on the screen. (Those items in question are not allowed to manually enter) 5. After entering withdrawal amount(within customer’s bank account balance) and click ‘Save’ button. 6. Once ‘normal’ response for ‘withdrawal request’ message, which was sent to securities firm, has been received, then make a fund transfer into the bank account from designated mother account(brokerage account) in securities firm

1,234,567,890Withdrawable Amount

0Balance after Withdrawal

Securities Password ****

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*Sending Message for Withdrawal Request[Example] When 0001 bank requests 0001 securities firm for ‘Withdrawal’ on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Withdrawal Amount 1,234,567,890 KIP (in case of USD, last 2 digits denote lesser value than a dollar)

0400B0001S02002200000000000420100621142113 20100621 0001023456233454 Hong Gil Dong K000001234567890 0101 || || | | | | | | | | | || | | | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ ⓣ ⓤ


ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Transaction Amount[15 Byte] 1,234,567,890Kip => [000001234567890] ⓠ : Individual Part Balance after Transaction[15 Byte] 1,234,567,890Kip => [ ] ⓡ : Individual Part Fee[15 Byte] Space => [ ] ⓢ : Individual Part Securities Account Number[6 Byte] 012345 => [ ] ⓣ : Individual Part Securities Account Password[4 Byte] => [0101] ⓤ : Individual Part Filler[123 Byte] Space => [ ]

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• Response Message for Withdrawal Request[Example] The securities firm’s response to the ‘Withdrawal’ request, which was made by 0001 bank to 0001 securities firm on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Withdrawal Amount 1,234,567,890 KIP (in case of USD, last 2 digits denote lesser value than a dollar)

0400S0001R02102200000000000420100621142113000020100621 0001023456233454 Hong Gil Dong K0000012345678900000000000200000000000000000000123450101 || || | | | | | | | | | || | | | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ ⓣ ⓤ


ⓛ : Individual Part Bank Code[4 Byte] 0001 => [0001] ⓜ : Individual Part Bank Account Number[16 Byte] => [023456233454 ] ⓝ : Individual Part Bank Account Name[120 Byte] => [Hong Gil Dong ] ⓞ : Individual Part Currency Type[1 Byte] K => [K] ⓟ : Individual Part Transaction Amount[15 Byte] 1,234,567,890Kip => [000001234567890] ⓠ : Individual Part Balance after Transaction[15 Byte] 1,234,567,890Kip => [000000000020000] ⓡ : Individual Part Fee[15 Byte] 0 => [000000000000000] ⓢ : Individual Part Securities Account Number[6 Byte] 012345 => [012345] ⓣ : Individual Part Securities Account Password[4 Byte] => [0101] ⓤ : Individual Part Filler[123 Byte] Space => [ ]

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7. Count Message (Request : 02003100, Response : 02103100)5.1 At Bank’s Request

DB

① Bank computes transactions ② Bank sends Count Request message ③ Securities Firm computes transactions ④ Sends response message of count request

DB

5.2 At Securities Firm’s Request

DB DB

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① Securities Firm computes transactions ② Sends ‘Count Request’ message ③ Bank computes transactions ④ Bank sends response message of count request

BANK

BANK

SECURITIES

SECURITIES

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* Sending Message for Count Request [Example] When 0001 bank requests 0001 securities firm for ‘Count’ on June 21, 2010 at 14 hours 21 minutes 13 seconds. : Notify securities firm of bank’s count details (in case of USD, last 2 digits denote lesser value than a dollar)

0400B0001S02003100000000000520100621142113 20100621 000111000002345623345000000000020000000012345678000000000082000000234567890000000000012000000003241012000000 || || | | | | | | | | | | | | | | | | | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ ⓣ ⓤ ⓥ ⓦ ⓧ

ⓐ : Common Part Message Length[4 Byte] => [0400] ⓑ : Common Part Sender Institution Type[1 Byte] Bank => [B] ⓒ : Common Part Sender Institution Code[4 Byte] 0001 => [0001] ⓓ : Common Part Send/Receive[1 Byte] Send => [S] ⓔ : Common Part Message Type[4 Byte] => [0200] ⓕ : Common Part Message Classification[4 Byte] => [3100] ⓖ : Common Part Transaction Reference Number[10 Byte] 5 => [0000000005] ⓗ : Common Part Message Sending Date[14 Byte] => [20100621142113] ⓘ : Common Part Response Code[4 Byte] Space => [ ] ⓙ : Common Part Transaction Date[8 Byte] => [20100621] ⓚ : Common Part Filler[46 Byte] Space => [ ]

ⓛ : Individual Part No of Notified Deposit KIP [6 Byte] 111 => [000111] ⓜ : Individual Part Sum of Notified Deposit KIP [15 Byte] 2,345,623,345 => [000002345623345] ⓝ : Individual Part No of Mis-notified Deposit KIP [6 Byte] 0 => [000000] ⓞ : Individual Part No of Notified Deposit USD [6 Byte] 20 => [000020] ⓟ : Individual Part Sum of Notified Deposit USD [15 Byte] 123,456.78 => [000000012345678] ⓠ : Individual Part No of Mis-notified Deposit KIP [6 Byte] 0 => [000000] ⓡ : Individual Part No of Notified Withdrawal KIP [6 Byte] 82 => [000082] ⓢ : Individual Part Sum of Notified Withdrawal KIP [15 Byte] 234,567,890 => [000000234567890] ⓣ : Individual Part No of Mis-notified Withdrawal KIP [6 Byte] 0 => [000000] ⓤ : Individual Part No of Notified Withdrawal USD [6 Byte] 12 => [000012] ⓥ : Individual Part Sum of Notified Withdrawal USD [15 Byte] 32,410.12 => [000000003241012] ⓦ : Individual Part No of Mis-notified Withdrawal USD [6 Byte] 0 => [000000] ⓧ : Individual Part Filler[192 Byte] Space => [ ]

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* Response Message for Count Request [Example] The securities firm’s response to the ‘Count’ request, which was made by 0001 bank to 0001 securities firm . : Notify bank of securities firm’s count details (in case of USD, last 2 digits denote lesser value than a dollar)

0400S0001R02103100000000000520100621142113000020100621 000111000002345623345000000000020000000012345678000000000082000000234567890000000000012000000003241012000000 || || | | | | | | | | | | | | | | | | | | | ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ ⓝ ⓞ ⓟ ⓠ ⓡ ⓢ ⓣ ⓤ ⓥ ⓦ ⓧ


ⓛ : Individual Part No of Notified Deposit KIP [6 Byte] 111 => [000111] ⓜ : Individual Part Sum of Notified Deposit KIP [15 Byte] 2,345,623,345 => [000002345623345] ⓝ : Individual Part No of Mis-notified Deposit KIP [6 Byte] 0 => [000000] ⓞ : Individual Part No of Notified Deposit USD [6 Byte] 20 => [000020] ⓟ : Individual Part Sum of Notified Deposit USD [15 Byte] 123,456.78 => [000000012345678] ⓠ : Individual Part No of Mis-notified Deposit KIP [6 Byte] 0 => [000000] ⓡ : Individual Part No of Notified Withdrawal KIP [6 Byte] 82 => [000082] ⓢ : Individual Part Sum of Notified Withdrawal KIP [15 Byte] 234,567,890 => [000000234567890] ⓣ : Individual Part No of Mis-notified Withdrawal KIP [6 Byte] 0 => [000000] ⓤ : Individual Part No of Notified Withdrawal USD [6 Byte] 12 => [000012] ⓥ : Individual Part Sum of Notified Withdrawal USD [15 Byte] 32,410.12 => [000000003241012] ⓦ : Individual Part No of Mis-notified Withdrawal USD [6 Byte] 0 => [000000] ⓧ : Individual Part Filler[192 Byte] Space => [ ]

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8. Initiating operation, Failure and Closing (Request: 08001100, Response: 08101100)

2.1 When Bank requests

DB

① Transforms ② Sends Message ③ Transforms ④ Sends Response DB

2.2 When Securities Firm requests

DB DB

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BANK

BANK

SECURITIES

SECURITIES

① Transforms ② Sends Message ③ Transforms ④ Sends Response

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* Sending Message for Operation Closing Request [Example] When 0001 bank requests 0001 securities firm for ‘Operation Closing’ on June 21, 2010 at 15 hours 00 minutes 00 seconds.

0400B0001S08101100000000000620100621142113000020100621 3 || || | | | | | | || ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ


ⓛ : Individual Part Notice Type [1 Byte] 3 => [3] ⓧ : Individual Part Filler[299 Byte] Space => [ ]

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* Response Message for Operation Closing Request [Example] The securities firm’s response to the ‘Operation Closing’ request, which was made by 0001 bank to 0001 securities firm on June 21, 2010 at 15 hours 00 minutes 00 seconds

0400S0001R08101100000000000620100621142113000020100621 3 || || | | | | | | || ⓐⓑ ⓒⓓⓔ ⓕ ⓖ ⓗ ⓘ ⓙ ⓚ ⓛ ⓜ


ⓛ : Individual Part Notice Type [1 Byte] 3 => [3] ⓜ : Individual Part Filler[299 Byte] Space => [ ]

bank-affiliated business process description. 2 1. bank-affiliated business process 1.1 precondition...

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