Customer-Entity

1. Frequency
2. Amount

1. Debit Card
   1. Enter
   2. Enter Save
   3. Delete
2. BACS

1. BACS
   1. SOF Check OK?
2. For ISA?
   1. Y - ISA Withdrawl warning

1. To ISA
2. To CTF Feeder

1. Current
   1. Account Balance
   2. Available to Invest
   3. Available to Withdraw
   4. Available to Transfer
   5. Uncleared Credit
   6. If CTF
      1. Feeder Balance
      2. Feeder Balance (Uncleared)
2. History
   1. Date/time
   2. Reference
   3. Type
   4. Details
   5. Debit/Credit Amount
   6. Balance

Annotations:

• Clarify what this is and does it affect Alpha

1. 6-Feeder Account
   1. Over subscribed Cash
   2. Allows 3rd Party Debit Card to Fund Acct
2. Subscription Year
   1. Subscription limit
   2. Amount Subscribed

1. Accept
   1. Orders
      1. Value
         1. Qty or Cash Amount
      2. Commision
         1. Trade Charges
            1. Promo code
               1. Promo Saving
      3. Trade
         1. Trading history
            1. Date/Time
            2. Buy/Sell
            3. Trade Type
               1. At best
               2. Limit
               3. Stop Loss
               4. Rising Buy
               5. Trailing Stop
               6. Fund
                  1. only has Buy Sell
            4. Value
            5. Book Cost
               1. Amend Book Cost
            6. Contract Note
            7. Historical Txn Y-N
            8. Security
               1. Security
                  1. Sec Type
                     1. CD Stocks -EQI
                     2. Contract for Difference - EQT
                     3. Fund
                        1. Fund x
                           1. Customer Accepts Key Investment Information Doc (KIID) to Trade
                              1. email KIID document
                     4. Equities - EQT
                     5. Debt Instruments - DI
                     6. Exchange Traded Fund - ETF
                     7. Exchange Traded Commodity/Currency - ETC
                     8. Bonds - BON
                     9. EQI International Equities - EQI
                        1. US Stock
                           1. Customer Needs W8-Ben to Trade
                     10. Exchange Traded Note - ETN
                     11. Gilt - GLT
                     12. Warrants - EQW
                  2. Complex Instrument Flag
                     1. Customer needs to Pass Complex instrument assesment to trade
                  3. Regular Investment Y/N
                  4. Dividend Reinvestment Y/N
                  5. Buy Trades Y/N
                  6. Sell Trades Y/N

                     Annotations:

                     • So Buy and Sell can be set seperately at Security level? 
                  7. Quote Provider
                  8. Parent Manger can Trade
                  9. Telephone Only

                     Annotations:

                     • So another flag that would mean you could not Buy or sell the security via the website? handled by Alpha API?
                  10. Certificated Trading Y/N
                  11. Secuity NUM - ISIN
                  12. Valid Acct Types
                  13. Limit Orders Only Y/N
         2. Does Cust have Sanctioned Country connection or Deal Lock in place
      4. Security
      5. Type
         1. Limit
         2. Rising Buy
         3. Stop Loss
            1. Expiry Date
         4. Trailing Stop
         5. At Best
         6. Regular Investment
         7. Dividend Reinvestment
         8. Fund Order
      6. Status
         1. Open
         2. Deleted
         3. Expired
         4. Active
            1. Can Amend/Cancel
         5. Placed
         6. Held
         7. Locked
         8. Routed To Dealer
         9. Executed
         10. Failed
         11. Cancelled
         12. Sent
      7. Channel
         1. Call center
         2. entered in Xanite
         3. Web
         4. phone App

1. Route to Dealer
   1. Dealing instructions

1. Processed Limit Orders
2. Important Secure messages

1. Deleted
   1. Archived

1. Do Not Delete Flag

1. Important
2. Not Important

1. Change PIN

Annotations:

• Selftrade has around 17,000 securities in universe, Saga slightly less. Everything in Saga universe is in Selftrade.