Entity Manager | Trovata Tms Help Center

An entity is any legal entity referred to or used in Trovata TMS. Examples include but are not limited to funding entities, investors, issuers, banks, and trade counterparties.

The Trovata TMS Entity Manager module is the central repository for all entity information used by all trade, accounting and cash management modules in the Trovata TMS system. This capability allows centralized control and reporting on all entity activity enterprise wide.

Actions

Using the Actions drop down menu at the top of the screen, the following can be used to find or manage entity information. Note that the ability to see/use individual actions are controlled by Trovata security. In the event a user does not see of the following actions, that user may not have the necessary authorization to do so.

Action	Description
Inquire	The user can view but not change information about a given entity.
Add	The user can create a new entity record.
Change	The user can change existing information.
Delete	The user can delete entity records.
Approve	After data has been edited, it may need to be approved by another user. To do so, use this action.
Import	The user can import entity information from Excel using a specific format. To see format expected, click the Export to Excel button in the import screen.

Searching for and Selecting Entity Information:
As with all Trovata TSM (Transaction Summary Manager) modules, the Entity Manager is divided into two parts: Search Screen and Entity Details Screen.

Search Screen:

Before searching, enter the filter criteria you wish to use to narrow your search. A search screen is shown below.

The Search Screen is further subdivided into two tabs: the search filter and results tab. The user can go into the filter screen to fill out constraints and criteria that he or she wish to use. For certain criteria, users may use the lookup button to search for existing reference already setup. Once the user clicks the search icon , the user will be directed into the results tab. Click on any result to see the underlying detail.

You can also optionally select up to 3 grouping using the three sort indicators

provided at the bottom of the screen.

Detailed Information about Entities:

The Entity Details Screen is subdivided into the Details, Authorization, Ratings, Accounts and Contacts tabs. Recall that Trovata TMS tracks both internal legal entities and external 3rd party entities. An example of each is shown below.

Details tab

The following information is associated with an entity definition:

	Field Name	Field Notes
1.	Entity	Entity identifier code. This code is created by the user when adding or importing an Entity record.
2.	Status	Indicates whether entity is Active or Inactive. Inactive entities cannot be used for transactions
3.	Name	Entity's Full Name (up to 60 characters)
4.	Short Name	Entity's Short Name (defaults to Entity Code). A short name is useful for reports.
5.	Approval Status	Indicates approval status: Approved or Not Approved. Entities can be auto-approved or manually approved by 2 ATOM users.
6.	Org Type	A default list of entity organization types are provided with ATOM.
7.	Internal/External	Indicates whether entity is internal or external to the user’s company. Select Internal if this entity is a related company. Select External if this entity is a third party company.
8.	Main Location	Main location code of entity. Location information is maintained in the Location Manager. Once a location code

		is selected, the following information is displayed for that location:
9.	Location Name
10.	Address 1
11.	Address 2
12.	City
13.	State/Province
14.	Country
15.	Zip/Postal
16.	Primary Contact	Entity's primary contact. The user must enter in the name in the following format: last name, first name. This will automatically populate the other relevant fields. Only summary information is entered on this screen. Contact information is managed in the Contact Manager application. One a contact is selected, the following information is displayed:
17.	Last Name
18.	First Name
19.	Contact Email
20.	Business Phone
21.	Base Currency	Base currency of entity
22.	Restrictions	Free-form field for any restrictions the user wants to note about the entity, up to 255 characters
23.	Compliance Ind	Set to N. Compliance tracking is outside the scope of this document.
24.	Compliant	Compliant indicator is outside the scope of this document.
25.	Regulated?	Indicates whether entity is a regulated or not.
26.	Regulator	If "Regulated?" flag is Yes, then this field will appear and the user will be required to select a Regulator.
27.	Tax ID	Entity's tax identification number (TIN)
28.	Tax Withholding %	Indicates entity's tax withholding percentage, optional
29.	TIN Expiration	Date when entity's Taxpayer Identification Number will expire
30.	Country of Origin	Entity's country of origin
31.	Tax Authority	Entity's tax authority
32.	Tax Code	Tax code for free form use
33.	Documents	Free form text
34.	Legal Structure	The business structure of the entity. A list of valid legal structure types are provided with ATOM.
35.	Documents	Click on documents to add or view files attached to this entity record. Excel, pdf, word files can be attached.
36.	User Tag Data	User tags are for user defined data items. User tag functionality is outside the scope of this document.
37.	Statistics	Statistics are for user defined statistic type data items.

		Statistics data functionality is outside the scope of this document.
38.	Notes
39.	Rating Class	User defined rating class
40.	Agency 1-5	Rating agency
41.	Rating 1-5	Rating assigned by the agency
42.	Has Parent	Indicates whether entity has a parent. The parent can then be entered in the matrix below.
	Limit Parent	The limit parent can be used to assign multiple counterparties to an overall parent entity – this can be useful for risk/concentration reporting.
	Relationship type
49.	Ownership Notes	Free-form field regarding ownership or parent company relationship with entity
45.	Parent	If "Parent?" flag is Yes, then this a matrix will appear. The user can add ‘parent’ entities by right clicking and selecting the ‘add’ option. A valid entity must be selected
46.	Parent Name
47.	Owner	Ownership %
50.	Alias 1-5	Up to 5 entity identifier codes can be entered.
51.	Notes
52.	Created by/On	ATOM-populated field tracking user who created entity along with date and time entity was created
53.	Updated by/On	ATOM-populated field showing who made updates to the entity along with date and time
	Approved By/On	ATOM-populated field showing who approved entity along with date and time

Authorization tab

The authorization tab controls which processing center is able to utilize the entity, what Trovata products will allow the use of the entity as a trade counterparty, and lastly what roles the entity may fulfill in Trovata TMS.

Any given entity may be assigned to either to one or all centers. If assigned to a center, then only activity belonging to that center can utilize that center as a counterparty. If the center is left blank, that entity can be used for all centers. Currently, each entity can only be assigned to a single center or to all centers.

Authorized Products

In order for an entity to be utilized as a counterparty for a given Trovata product, that entity must have the respective product enabled as an “authorized” product. For example, if a certain entity should be used as a counterparty for the short term debt module (i.e. an investor or dealer), then that entity must have “STD” enabled as an authorized product. This is similarly the case for all Trovata trading products.

The Trovata Cash Management products also rely on this concept by requiring an entity to be enabled for use in cash modules as a bank, then that entity must have Cash Management (“CSH”) enabled as an authorized product.

Roles

Although less critical to processing, entities also play other roles in Trovata. These are denoted as “authorized roles” in Trovata. An authorized role could be an Affiliate, IPA, etc. Also it is useful for reporting and counterparty management reasons to mark the various roles fulfilled by any given entity. Although an entity may fulfill multiple roles, note that Trovata allows the assignment of a primary role to an

entity.

Figure 4: Authorized Internal Entity

	Field Name	Field Description
1.	Center	Operating center
2.	Primary Role	Primary role of entity
3.	Authorized Products	Products for which entity is authorized for
8.	Authorized Roles	Shows how entity can be used
13.	Bank Accts with	If the entity is a bank, shows all the bank accounts at that bank.
	14. Bank Accts owned	Show all the bank accounts owned by the entity.
15.	Standing Instrs.	Shows all the standing instructions for the entity.

Accounting tab

The accounts tab lists accounting information for internal entities (and is applicable to internal entities only).

Figure 5: Accounting External Entity

	Field Name	Field Description
1.	Funding Entity	Indicates whether entity is a funding entity. Indicates whether entity is a legal entity.
2.	Mgmt. Units Ind.	Set to “Y” if a business management segment (business line) should be tracked.
3.	Mgmt. Seg. _	Three business segments can be assigned. One sub-segment can be assigned.
5.	Enable Accounting	Indicates whether accounting is enabled for entity
6.	Accounting Set	Indicates which accounting set (chart of accounts) is used for entity
7.	GL Prefix	Indicates which GL Prefix (business identifier) is used for entity
8.	Mirror Accounting	Set to “No”. Mirror accounting functionality is outside the scope of this document.

Trading Tab

The trading tab is used to show the valid entity counterparty (“trading”) accounts for the entity. “Trading” accounts are used only for Trovata Capital Market modules and are not needed for Trovata Cash module set.

	Field Name	Field Description
1.	Sales Support	Set to “No”. Sales support functionality is outside the scope of this document.
3.	Account listing matrix	See above. Applicable to ATOM Capital Markets only. Outside the scope of this document.

Contacts tab

The contacts tab lists the contacts associated with the entity.

Entity Account

Entity Accounts apply to Trovata Capital Markets only.

In order to enter a trade with a given entity, that entity must have at least one valid account defined.

The entity account screen allows users to setup multiple accounts for one existing entity. Entity Accounts are used to segregate activity with a given entity. Note that an Entity Account is a concept unique to Trovata that allows the definition of specific trading relationships with a given entity. Trovata Accounts are only used by the Trovata trade managers.

For instance, if a business (one legal entity) has two offices with two contact lists, users would set up one entity for that business, and two entity accounts for each office. This way, reporting/exposure can be done on both the account level as well as the entity level.

Accounts can also be used when selling debt directly to investors where the investors trade on behalf of different funds. In Trovata an entity would be set up for the investor and one Trovata account would be set up for each fund.

	Field Name	Field Description
1.	Entity	Entity Code
2.	Center	Indicates which operating center entity belongs to
3.	Account	Account identifier
4.	Status	Indicates status of account
5.	Account Name	Full name of account
6.	Entity Reference	Free-form field for additional reference information regarding this entity account
7.	Account Type	Indicates account type
8.	Main Location	Account's main location identifier. Only summary information can be entered on this screen, please see Entity Location for more information
9.	Location Mgr	Click to use Location Manager. See 5: Entity location for more information.
10.	Location Name	Derived from Location Code
11.	Address 1

12.	Address 2
13.	City
14.	State/Province
15.	Country
16.	Zip/Postal
17.	Contact Name	Account's contact identifier
18.	Contact Mgr	Click to use Contact Manager. See 4: Entity Contact for more information.
19.	Last Name
20.	First Name
21.	Contact Email
22.	Business Phone
23.	Documents	Free-form field for additional document tracking
24.	Sales Support	Set to “N”. Sales support is outside the scope of this document.
25.	Org Type	See Org type in main entity detail screen
26.	Sales Region
27.	Account Type
28.	Sales Territory
29.	Dealer
30.	Settlement Instructions	Entity accounts can have multiple settlement instructions for trade settlement purposes. Trade settlement is outside the scope of this document.

Entity Contact

Users may enter summary information about the main entity contact in the Entity Manager and/or Entity Account Manager screens. Users may supply additional information in the following screen. Also, the following screen can be used to enter multiple contacts if necessary.

Trovata Entity Manager User Guide

	Field Name	Field Description
1.	First Name	Contact's first name
2.	Last Name	Contact's last name
3.	Salutation	Contact's salutation
4.	File As	Contact identifier (defaults to last, first)
5.	Job Title	Contact's job title
6.	Center	Indicates which operating center contact belongs to
7.	Region	Indicates which region contact belongs to
8.	Entity	Entity that this contact is associated with
9.	Account	Entity Account that this contact is associated with
10.	Internal/External	Indicates whether contact is internal or external to company.
11.	Contact Type
12.	Email
13.	IM
14.	Business Phone
15.	Cell
16.	Fax
17.	Home
18.	Other	Additional
19.	Location	Contact's location code

20.	Location Mgr	Click to use Location Manager. See 5: Entity location for more information.
21.	City
22.	State/Province
23.	Country
24.	Zip/Postal
25.	Emergency Contact
26.	Phone
27.	Created by/On	ATOM-populated field tracking user who created entity along with date and time entity was created
28.	Updated by/On	ATOM-populated field showing who made updates to the entity along with date and time

Entity Location

Users may enter summary information about the main entity location in the Entity Manager and/or Entity Account Manager screens. Users may then supply additional information for the location in the following screen.

The entity location screen also allows the user to setup additional locations for an existing entity.

1.	Location	Location identifier
2.	Name	Location's name
3.	Entity	Entity that location is associated with
4.	Account	Entity account that location is associated with
5.	Store	Store/branch/location – applicable to ATOM store banking only.
6.	Type
7.	Usage	Internal/External
8.	Address 1	Location's address
9.	Address 2 - 4	Additional address information
10.	City	Location's city
11.	State/Province	Location's state or province
12.	Zip/Postal	Location's zip or postal code
13.	Country	Location's country
14.	Time Zone	Location's time zone

Reference Information

The Entity Manager module utilizes a set of reference data items as described below. Each of these items are user definable:

Item	Description	Module
Meeting Type	The type of meeting.	Meeting Manager
Contact Type	Used to organize contacts by position or purpose.	Contact Manager
Entity Role	The different roles the entity fulfills. Defined by FSC.	Entity Manager
Parent Type	The different types of ownership relationships between entities.	Entity Manager
Regulators	The list of valid regulators for regulated entities	Entity Manager
Organization Type	The list of valid organization types (banks, trusts, mutual funds, dealers, corporations, etc.)	Entity Manager
Sales Region	The list of valid sales regions. Only used when sales support is enabled.	Entity Manager
Sales Territory	The list of valid sales territories. Only used when sales support is enabled.	Entity Manager