NexJ CRM provides a system for managing information for capital markets, which includes holdings, securities, and transactions.

Holdings
Holdings are the securities that a company, institution, or fund owns.

Securities
Securities are tradable financial assets, such as debt (bonds or debentures), equities (stocks), or derivatives (futures, options, swaps, or forwards).

Transactions
Transactions are records of financial activities between two companies.

A business administrator manages the securities that are available to institutional research, sales, and trading staff in the Holdings, Securities, and Transactions workspaces. Capital market firm employees view holdings, securities, and transactions in NexJ CRM to provide research, sales, and trading services to clients.

Data feeds

NexJ CRM integrates with several data feeds to provide securities, holdings, and transactions data.

Most of the data in your system is provided through data feeds. In a typical environment, data feed updates occur once a day. In certain cases, a security or holding is manually created. Transactions data is read-only.

Managing financial securities

Use the Securities workspace to administrate the securities that are available to your institutional sales representatives, research analysts, and traders.

The Securities workspace contains the list of securities that are available to sales, research, and trading staff. Data feeds populate the list. You can also manually create securities. Sales, research, and trading staff use securities in NexJ CRM to:

• View securities issued by a company.

• View securities held by an institution or fund.

• View financial transactions for a company.

• Define stock interests for a contact.

• Flag meetings and activities with a security's ticker symbol, sector, or industry.

• Create reports using security data.

Securities workspace

Business administrators use the Securities workspace to manage the securities that are available to sales, research, and trading staff, and to assign coverage for sectors and industries.

The Securities workspace contains two tabs:

Securities tab
The Securities tab contains two areas:

• The securities list on the left displays the available securities in NexJ CRM. From the securities list, you can filter the list, perform a quick find or advanced search, change display columns, and manually add, edit, or delete securities.
• The security details area on the right. The security details area contains information about the selected security. Further information appears under the Detail, Security Listings, Coverage, and Notes tabs.

Detail
Displays information about the security, including the number of shares outstanding, market capitalization and segment, sector and industry, the issuing country and security class, and issued and stop dates. The Detail tab also displays CUSIP, SEDOL, and ISIN security identifiers.

Security Listings
Displays the exchanges on which the security trades. You can specify the primary exchange for securities that trade on multiple exchanges.

Coverage
Displays the coverage to indicate which users are responsible for the company that issued the security or for the industry or sector to which it belongs.

Notes
Displays notes that have been added for the security. For example, use the Notes tab to enter a summary or overview of the security.

Taxonomy Management tab
The Taxonomy Management tab displays the sectors, industries, and companies in NexJ CRM in a hierarchy. In the hierarchy, companies belong to an industry, and industries belong to a sector. You can use the hierarchy to assign coverage for a company.

Viewing securities that are available to your organization

View all securities on the Securities workspace.

Securities in the list originate from data feeds or are created manually. You can search securities using a predefined or custom filter, and a quick find or advanced search. Search the list to locate the securities that you want to edit or delete.

To view securities:

1. Navigate to the Securities workspace.
   
2. Use filtering and search criteria to find the securities that you want to view:

   • To filter the securities list, click the Set Filter button  in the filter field, and select a user-defined filter.

     The Set Filter menu contains your favorite saved filters. From the Set Filter menu, you can also specify which saved filters display in the menu, change the order of filters, choose from all available saved filters, and create a new filter. You can modify the currently selected filter by clicking the Edit button  in the filter field.

   • To search securities by security name, enter search text in the Name field, and click the Find button. The securities list refreshes and only shows the securities that match the filter and search criteria.
   • To stop searching by security name, click the Clear button in the Name field.
   • To search for securities using additional search criteria, click the Show Filter button . Additional filter criteria display, including the CUSIP and SEDOL security identifiers.
     • In the additional filter fields, specify desired filter criteria and click Run .
     • To clear the search criteria when advanced filter criteria are displayed, click Clear.
     • To hide the expanded filter criteria, click the Hide Filter button .
   The securities list refreshes to show only the securities that match the filter and search criteria.
3. Select the security to view.

The details zone to the right of the securities list refreshes to display the security's details.

You can view details for the selected security, and edit or delete the security.

Adding financial securities

You can manually add securities that are not provided by your data feeds. For example, you can add information for a security to be issued by a company that your firm manages in the pre-IPO stage.

You define information about the security, such as the security's ticker symbol and market value. You can also define the exchanges that the security trades on, and specify view and edit permissions for the security.

To manually add a financial security:

1. Navigate to the Securities workspace.

2. In the Securities tab, click Add.
   The Add Security dialog opens.

3. In the Detail tab, provide information on the security: To define the company that issued the security, click the Select button in the Issuer field. In the Select Company dialog, select a company from the list.

   You must add a security name.

4. To define the exchange that the security trades on, in the Security Listings tab, click Add. Add a security listing name and ticker symbol, and select an exchange. Click OK.
   After selecting an exchange, values populate for Trading Country and Currency.

5. Specify the view and edit security settings for the security in the Permissions tab. Specify whether all users, a group of users, or only you can view or edit the security.

6. Click OK.

The security is added to the securities list in the Securities workspace. If you defined a company as the security's issuer, the security is also added in the Securities tab in the Portfolio tab in the company's profile.

Edit the security to provide more information about the security. For example, enter the number of shares outstanding, market segment, and issuing date.

Editing financial securities

Edit securities to provide missing security information, update existing information, and change the primary exchange listing. You can also change view and edit permissions for securities.

The securities that are issued by a company display in the Securities tab in the Portfolio tab in the company's profile. Change a security's issuer to update the company that issued the security.

Securities information is provided by data feeds or manually created by a business administrator. Depending on your implementation, updates from a data feed may overwrite changes that you make to data supplied by the feed.

To modify properties for a financial security:

1. Navigate to the Securities workspace.
2. In the Securities tab, in the securities list, select the security to modify.
3. In the securities details area, select Edit.
   The Edit Security dialog opens.

4. In the Detail tab, modify security information as needed.

   • To change the company that issued the shares, select a company in the Issuer field.

5. In the Security Listings tab, you can add, edit, or delete a listing, and change the primary listing:
   

   • To add a new listing, click Add. In the Add Security Listing dialog, provide details and click OK.
   • To edit a listing, click the Action button  for the listing, and select Edit. In the Edit Security Listing dialog, make changes to the listing and click OK.
   • To delete a listing, click the Action button  for the listing, and select Delete. In the confirmation dialog, click Delete.
   • To change the primary listing, click the Action button  for the listing, and select Set as Primary.

6. In the Permissions tab, specify view and edit security settings for the security. Specify whether all users, a group of users, or only you can view or edit the security.

7. Click OK.

The updated information is saved for the security. If you changed the issuer company, the security now displays for the company in the Securities tab under the Portfolio tab.

Merging securities

You can eliminate duplicate security records in the system by merging them.

To merge security records:

1. Navigate to the Securities workspace.

2. Right-click on the duplicate security record (the source record) in the list of securities, which you want to merge into another record (the target record).

3. Select Merge into.
   The Select Security dialog opens.

4. Search for and select the name for the security that is the target for the merge.

5. Click OK.
   The Security Merge dialog opens. Values that are different between the source and target security records will display.

6. Select Keep Source Record to keep a copy of the source record after the merge instead of deleting the source record.

7. Select Merge holdings from source record to migrate the holdings from the source record to the target record holdings. If you do not select Merge holdings from source record, the holdings remain with the source record.

8. In the Detail tab, use the checkboxes in the Merge From column to select the values that you would like to keep for the merged security record.

9. Click Next.

10. In the Listings tab, select the source and target security listings that you would like to keep in the merged security record. All listings are selected by default.

11. Click Start Job.

The duplicate security records are merged into a single security record.

Deleting securities

Delete securities that you previously added manually to NexJ CRM to permanently remove the securities from the system.

Do not delete securities provided by a data feed as the securities are created again when the feed refreshes.

To delete a security:

1. Navigate to the Securities workspace.
   
2. In the securities list, click the Action button  for the security to delete, and select Delete.
   A confirmation dialog opens.
3. Click Delete to delete the security.

The security is deleted from NexJ CRM.

Navigating the industry taxonomy

If Capital Markets functionality is enabled, the hierarchy of sectors, industries, and companies is the industry taxonomy. You can view the hierarchy in the Taxonomy Management tab on the Securities workspace.

The Sector, Industry, or Company columns represent the hierarchy, where companies belong to industries, and industries belong to a sector.

In the Taxonomy Management tab, you can do the following:

• Select a sector or industry from the Sector or Industry columns to display items lower in the hierarchy. For example, select an industry to display the companies that belong to the industry.
• Type a partial or complete search term in the search field to return results that display the search item's taxonomy type and position in the hierarchy.
• Search by name for sectors, industries, and companies in the Select Taxonomy dialog. To open the Select Taxonomy dialog, in the search field, click the Select button .
• Apply coverage of a sector, industry, or company to sales, research, and trading staff from the Sector, Industry, and Company columns.

Assigning coverage to sectors, industries, and companies

Assign coverage of specific industries, sectors, and companies to sales, research, and trading staff. Coverage indicates that a user is responsible for the industry, sector, or company.

Assigning coverage to a company that issues securities also assigns coverage to all securities for the company.

Use the hierarchy in the Taxonomy Management tab to assign coverage at the sector, industry, and company level. Coverage applied to a higher level in the hierarchy also applies to lower levels in the hierarchy. For example, applying coverage to the Energy sector also applies coverage to all industries and companies in the Energy sector.

To assign coverage for a sector, industry, or company:

1. Navigate to the Securities workspace and select the Taxonomy Management tab.
2. Use the columns to assign coverage by doing one of the following:
   • To apply coverage to a sector, select a sector from the Sector column.
     For example, select the Energy sector. Coverage is applied to all industries and companies that belong to the Energy sector.
   • To apply coverage to an industry, after selecting a sector, select an industry from the Industry column.
     For example, select the Renewable Fuels industry. Coverage is applied to all companies that belong to the Renewable Fuels industry.

   • To apply coverage to a company, after selecting a sector and industry, select a company from the Company column.
     For example, select a renewable fuels company.

     Alternatively, if you know the name of the sector, industry, or company to apply coverage to, you can search by typing text into the search field or by opening the Select Taxonomy dialog from the search field.

     The sector, industry, or company is selected in the hierarchy.

3. Assign the user or group that you want to assign the coverage to:

1. 1. Click the coverage indicator  beside the sector, industry, or company to apply coverage to.

      The coverage indicator displays either light grey  or dark grey depending on whether coverage has been applied. Light grey  indicates no existing coverage and dark grey  indicates existing coverage.

      The Add Coverage Users dialog opens.

   2. In the Name field, select the down arrow, and click Select.
      The Select User dialog opens.
   3. Use the filters to narrow the search results. Select a user or coverage group in the list, and click OK.
      The Select User dialog closes.
   4. In the Coverage Role field, select a coverage type, and click Add.The user displays in the list, and values populate for the user or coverage group in the details area on the right. By default, the Status is Active and the Start Date is today's date.
   5. Click OK.
      The Add Coverage Users dialog closes.

The user or coverage group displays in the list below Select Coverage. The coverage indicator displays in the hierarchy to indicate that the user or coverage group is responsible for the industry, sector, or company. After applying coverage to a company, the coverage indicator  displays beside the company in the:

• Holdings and transactions lists in the Contacts workspace.
• Holdings list in the Holdings workspace.
• Securities list in the Securities workspace.
• Transactions list in the Transactions workspace.

On the Home workspace, in the Capital Markets tab, the following information displays for the current user:

• Trades for tickers that the current user covers display in the Ticker Revenue Summary tab.
• Revenues generated by companies that the current user covers display in the Client Revenue Summary tab.

Managing holdings for capital markets

Holdings are the securities that a company, institution, or fund owns. For example, the stocks and bonds held by a mutual fund are the fund's holdings.

A holding defines the owner, security, number of shares, and value for the holding. An individual holding is also known as a position.

Institutional sales representatives, research analysts, and traders search and view holdings in NexJ CRM to understand clients and identify sales opportunities. For example, a sales representative searches holdings to find funds that have taken new positions, or bought or sold shares for an existing holding.

A data feed populates holdings in the system. You can manually add holdings that are not provided by the feed. Use the Holdings workspace to add, edit, and delete holdings.

Adding holdings

You can manually add holdings that are not provided by your data feeds.

To add a holding, you must specify the owner, security ticker, number of shares, and value for the holding. Specifying the contact for a company, institution, or fund as the owner adds the holding to the Holdings tab in the contact's portfolio.

To manually add a holding:

1. Navigate to the Holdings workspace.
   
2. Click Add.
   The Add Holding dialog opens.
3. To indicate that the holding is a new position, select New Position.
   
4. In the Details tab, provide information about the security. You must provide a holding owner, security ticker, the quantity and value of the holding, and the issuing country.
   
5. In the Security tab, specify view and edit security settings for the holding. Specify whether all users, a group of users, or only you can view or edit the holding. Click OK.

The security is added to the holdings list and in the Holdings tab in the company, institution, or fund's portfolio for the holding owner. In the list, the Manually Created Holding icon  indicates that the holding was manually created.

Editing holdings

You can edit a holding that was manually added to a company, institution, or fund. Holdings provided by a data feed are read-only and cannot be edited.

After manually adding a holding, edit the holding to provide missing holding information, update changes in the value of a holding, and change view and edit permissions for the security.

To edit a holding:

1. Navigate to the Holdings workspace.
   
2. In the holdings list, click the Action button  for the holding to edit, and select Edit.
   The Edit Holding dialog opens.
3. Make your desired changes to the holding, and click OK.
   The Edit Holding dialog closes.

The holding is updated and saved.

Deleting holdings

Delete a holding that you manually added to reflect portfolio changes by a company, institution, or fund. Holdings provided by a data feed are read-only and cannot be deleted.

To delete a security from a holding:

1. Navigate to the Holdings workspace.
   
2. Use the filter to find the holding to delete.
   
3. In the holdings list, click the Action button  for the security to delete, and select Delete.
   A confirmation dialog opens.

4. Click Delete to delete the holding.

   This action cannot be undone.

The holding is removed from the system.

Managing research subjects

If Capital Markets functionality is enabled, a specific area of research, such as a company or industry is a research subject. A capital markets firm distributes publications on research subjects to clients. A research subject belongs to one of the following research subject types: coverage research, other research, research analyst, or specialty research.

A business administrator creates and manages the research subjects that are available to users. A user identifies the research subject areas that are of interest to a contact, then subscribes the contact to research subjects. A third-party research management and distribution application delivers research publications to contacts by their preferred communication method.

Adding research subjects

A business administrator adds research subjects to NexJ CRM to make the subjects available to users for subscription.

A business administrator creates research subjects from the following research subject types:

Coverage research
Research publications for a company, industry, or sector.

Research analyst
Research publications produced by a research analyst.

Specialty research
Research publications that are not related to a specific security, company, industry, sector, or research analyst.

Other research
Research publications in which you can specify the communication method on the Customize workspace.

To add a research subject:

1. Navigate to the Customize workspace.
   
2. Select the Research Subject Management tab.
   The list of research subjects displays.
3. Click Add and select a research subject type.
   The Add Research Subject dialog opens.
4. In the Name field, type a name to describe the research subject for users.
   
5. In the Description field, provide a description of the research subject for other business administrators.
   

6. If you are creating a coverage research subject:

   1. In Coverage Area, type the ticker symbol, company, industry, or sector to specify a coverage research subject.
      Search results display in the Coverage Area field in ticker symbol, company, industry, or sector format.

      Ticker symbol format displays the ticker symbol followed by the exchange on which the company trades. Company format displays the full name of the company. Ticker symbol and company formats also show the sector and industry that the ticker belongs to. Industry format displays Industry after the industry name followed by the name of the sector to which the industry belongs. Sector format displays Sector after the sector name.

      You can create only one research subject for a company, industry, or sector. For example, you can create only one research subject for the Financials sector.

   2. Select a ticker symbol, company, industry, or sector from the search results.
      The company, industry, or sector displays in the Coverage Area field.

      Selecting a ticker search result returns the company associated with the ticker. The research subject applies to the company, not the ticker.

      Alternatively, you can search for a ticker, company, industry, or sector by clicking the Select button  in the Coverage Area field to open the Select Taxonomy dialog.

   3. Click OK.
      The Add Coverage Research Subject dialog closes.

7. If you are creating a research analyst subject:

   1. In Owner, type the name of the research analyst.
      Search results display in the Owner field.

   2. Select a research analyst.

      Alternatively, you can search for and select a research analyst by clicking the Select button to open the Select Research Analyst Owner dialog.

   3. Click OK.
      The Add Research Analyst Owner dialog closes.

8. If you are creating a specialty research subject:

   1. In Owner, type the name of the specialty research subject owner.
      Search results display in the Owner field.

   2. Select a specialty research subject owner.

      Alternatively, you can search for and select multiple specialty research subject owners by clicking the down arrow in the Owner field and choosing Select to open the Select Research Subject Owners dialog.

   3. Click OK.
      The Add Specialty Research Subject dialog closes.

9. If you are creating a research subject for other research:

   1. In Communication Method, select or clear the Email or Document checkboxes to specify how to deliver the publication to the contact.

      You must select at least one communication method.

   2. In Owner, type the name of research owner.
      Search results display in the Owner field.

   3. Select a research owner.

      Alternatively, you can search for and select research owners by clicking the down arrow in the Owner field and choosing Select to open the Select Research Subject Owners dialog.

   4. Click OK.
      The Add Other Research Subject dialog closes.

The research subject is added to the system and is available in the Contacts workspace in the Subscriptions tab for a contact.

Activating research subjects

Activate or deactivate research subjects to make them available or unavailable to users. For example, deactivate a research subject for an industry that your company no longer covers.

To deactivate research subjects:

1. Navigate to the Customize workspace.
   
2. Select the Research Subject Management tab.
   The list of research subjects displays.
3. In the list, click the Action button  for the research subject to deactivate, and select Properties.
   The Edit Research Subject dialog opens.
4. Clear the Active checkbox and click OK.
   A confirmation dialog opens.
5. In the confirmation message, click Yes.
   The confirmation dialog and the Edit Research Subject dialog close.

The research subject is deactivated and is no longer available to users in the Contacts workspace.

Deleting research subjects

Delete research subjects to permanently remove them from the system.

To delete a research subject:

1. Navigate to the Customize workspace.
   
2. Select the Research Subject Management tab.
   The list of research subjects displays.
3. In the list, click the Action button  for the research subject to delete, and select Delete.
   A confirmation dialog opens.
4. In the confirmation dialog, click Delete.
   The confirmation message closes.

The research subject is permanently removed from the system.

Managing trade accounts

You can view and manage your trading accounts in one location on the Customize workspace in the Account Mapping tab.

An account is mapped to an institution in NexJ Customer Relationship Management to provide financial transaction information for the institution. Financial transactions are available in the Transactions subtab in the Portfolio tab for an institution, and for all institutions in the Transactions workspace.

Accounts are provided by your data feed. In some cases, the data feed does not contain mapping information and you must manually map the account to an institution.

Viewing trading accounts

You can use search and filtering criteria to view accounts. For example, you can search by account name, and filter by company, trading group, and active or inactive accounts.
To view and filter trading accounts:

1. Navigate to the Customize workspace and select the Account Mapping tab.
   
2. Use the following search and filtering criteria to find the accounts that you want to view:

   Search Account Name
   To search for a specific account name, enter the name of the account.
   
   Search Parent Account
   To search for a specific parent account, enter the name of the parent account.
   
   Company
   To filter by the company that is mapped to the account, click the Select button . In the Select Company dialog, locate and select a company, and choose OK.
   
   Any Trading Group
   To filter by the trading group that is associated with the account, select a trading group from the list.
   
   Mapped and Unmapped Accounts
   To filter by mapped or unmapped accounts, select Mapped Accounts Only or Unmapped Accounts Only.

   A mapped account is an account that is mapped to a company. An unmapped account is not associated with a company.

   Any Status
   To filter by active and inactive accounts, select Active or Inactive.
   
   All Accounts
   To filter by child or parent accounts, choose Child Accounts Only or Parent Accounts Only.
   
   Deleted and Non-Deleted Accounts
   To filter by deleted accounts, choose Non Deleted Accounts Only or Deleted Accounts Only.

3. Select Run.

The account list refreshes to display results based on your filter and search criteria.

Manually adding trading accounts

You can manually add a trading account. For example, you may want to create a parent account for two related accounts.

 
To manually add a trading account:

1. Navigate to the Customize workspace and select the Account Mapping tab.
   
2. Click Add.
   The Add Account dialog opens.
3. In the Account Name field, enter a name for the account.
   
4. In the Account Key field, enter the account number for the trading account.
   
5. [Optional] In the Parent Account field, you can choose to select a parent trading account. Click the Select button  to make your selection.
   The Select Account dialog displays where you can make your selection. Click OK when you are done making your selection.
6. [Optional] In the Trading Group drop-down, you can select the trading group related to the account.
   
7. [Optional] In the Provider drop-down, you can select a data provider for the account.
   
8. To map the account to an institution:
   1. In the Company field, click the Select button .
      The Select Company dialog opens.
   2. Locate and select the company to map the account to, and choose OK .
      The Select Company dialog closes.
9. [Optional] In the Last Trade field, you can select the date when the most recent trade occurred for the account.
   
10. [Optional] In the Process Date field, you can select a date when transactions will be processed.
    
11. To make the account active, select the Active checkbox.
    
12. Provide additional account details as required.
    
13. Click OK.
    The Add Account dialog closes.

The trading account is added to the accounts list.

Editing trading accounts

You can edit a trading account if required. For example, edit an account to provide information that is missing from your data feed.

To edit a mapped account:

1. Navigate to the Customize workspace and select the Account Mapping tab.
2. In the accounts list, click the Action button  for the account that you want to edit, and select Edit.
   The properties dialog opens.
3. To modify the parent account:
   1. In the Parent Account field, click the Select button .
      The Select Account dialog opens.
   2. Locate and select a parent account company, and choose OK.
      The Select Account dialog closes.
4. In the Account Key field, enter the account number.
5. In the Trading Group drop-down, select the data provider for account.
6. To modify the institution that the account is mapped to:
   1. In the Company field, click the Select button .
      The Select Company dialog opens.
   2. Locate and select the company to map the account to, and choose OK.
      The Select Company dialog closes.
7. Make changes to the holding, and click OK.
   The properties dialog closes.

The account is updated and saved.

Activating trading accounts

You can define whether an account is active or inactive and use the status to filter accounts.

To activate or deactivate a trading account:

1. Navigate to the Customize workspace and select the Account Mapping tab.
2. In the accounts list, click the Action button  for the account that you want to activate or deactivate, and select Edit.
   The properties dialog opens.
3. Select or clear the Active checkbox to make the account active or inactive.
4. Click OK.
   The properties dialog closes.

The account is now active or inactive.

Deleting trading accounts

You can define whether account is deleted and use the status to filter accounts.

To delete a trading account:

1. Navigate to the Customize workspace and select the Account Mapping tab.
2. In the accounts list, click the Action button   for the account that you want to activate or deactivate, and select Edit.
   The properties dialog opens.
3. Select the Delete checkbox to make the account deleted.
4. Click OK.
   The properties dialog closes.

The account is now deleted.