CLS STAR Programme
Member Gateway Elimination

Ram Komarraju & Thiru Vijayan
SOFE - November 2013

www.cls-group.com

® CL...
Agenda

Introduction
High-Level Solution Details
Connectivity Guidelines
Technology Approval Process
Enhanced GUI Experien...
Introduction

3
Introduction
»

As part of the Strategic Architecture program (STAR), CLS is eliminating
the current Member Gateway using ...
Key Objectives

Reduce Member Total Cost of Ownership (TCO) for CLS Connectivity by removing CLS
gateway infrastructure an...
High-Level Solution Details

6
Member Connectivity High-Level Architecture

STP XML Channel Interface
» ISO 20022 based XML messages
» SWIFT InterAct Sto...
Key Benefits

Enhanced
Resiliency

Single URL
across
Prod/DR

Reduced
Complexity

Improved
Security

Increased
Performance...
Connectivity Guidelines

9
CLS FX Member Interface
Overview
» Capability of at least 2 sites
connecting to live service
SWIFTNet

» One system connec...
Target State
Connectivity Options for Members

Re-use
SAA/CBT

SNL upgrade to
access new MI
Channel
Update existing
CBT to...
Target State
Interface Messaging Options for Members

Re-use
SAA/CBT

SNL upgrade to
access new MI
Channel
Update existing...
Sample Configuration 1: Browser & XML Messaging using MI
Channel

»

»

Send/receive ISO20022 XML messaging flows for CLS ...
Sample Configuration 2: Browse & XML messaging using SAA/CBT

»

»
»

Use Store and Forward (SnF) interface in SAA or SWIF...
Technology Approval Process

15
Overview
»

CLS Technical Architecture Document (TAD) provides a template
CLS technical architecture and deployment detail...
Key information to be included in TAD

SWIFTNet
SnF Queue Details
[CLS to Member – SNF Queues]
Member.admi.xxx.opdata.batc...
TAP Workflow

Proving of SWIFTNet
Browse connectivity
with CLS JAS

Proving JAS CLS SnF
Configuration &
connectivity via
t...
Operational Approval Process Overview

»

The goal of Operational Approval Process (OAP) is to ensure that
the business fu...
Enhanced GUI Experience

20
CLS Browse GUI

Features

RBAC Roles

Single SignOn

Single URL

CLS
Browse
Features

NonRepudiation
of GUI
Transactions

...
GUI

Site map

Dashboard

Transactions
Management
Trade List
Trade History

Cash
Management
Account Balances
Account Movem...
Member Migration

Status Update

23
STAR Programme
Member Migration
Item
Total Number of Members
(control and standard branch)
Confirmed migrations windows

M...
STAR Programme
Member Migration

Member Migration

Status update

Phase
confirmation
(Completed)

Being done as first
acti...
STAR Programme

Member Migration

Documentation Updates
»

Key documentation has been updated:
» XML Messaging Guide v1.2
...
Appendix

27
GUI Overview
Mock Ups

Trade Detail

»

Introduced options to view
history or action an amend
and rescind from the
detaile...
GUI Overview
Mock Ups

»
»
»

Pay-in Schedule List

New accordion navigation for improved ease of use
Single row for short...
GUI Overview
Mock Ups

Trade Detail

»

Introduced options to view
history or action an amend
and rescind from the
detaile...
GUI Overview
Mock Ups

»
»

Member Payment Monitor

Option to view the Member payment performance for the Main and the SDS...
GUI Overview
Mock Ups

»

Pay-in Detail

New tab-based navigation screen for faster and efficient access to the detail scr...
Comparison of Messages
FIN vs ISO 20022 vs Legacy Gateway
Message

IN/OUT *

Swift FIN

ISO 20022

Gateway

Inputs and Pay...
Comparison of Messages
FIN vs ISO 20022 vs Legacy Gateway
Message

IN/OUT *

Swift FIN

ISO 20022

Gateway

Schedules
Pay-...
Thank You

35
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Sofe cls membergateway

  1. 1. CLS STAR Programme Member Gateway Elimination Ram Komarraju & Thiru Vijayan SOFE - November 2013 www.cls-group.com ® CLS and the CLS Logo are registered trademarks of CLS UK Intermediate Holdings Ltd © 2013 CLS UK Intermediate Holdings Ltd.
  2. 2. Agenda Introduction High-Level Solution Details Connectivity Guidelines Technology Approval Process Enhanced GUI Experience Member Migration Status Update SWIFT Presentation 2
  3. 3. Introduction 3
  4. 4. Introduction » As part of the Strategic Architecture program (STAR), CLS is eliminating the current Member Gateway using a standards-based solution addressing several issues and bringing significant value to our Members » Topics being discussed include: » Key Objectives » High Level Solutions - Future State Architecture Member Connectivity Options Enhanced GUI Experience » Member migration plan » SWIFT to present the SWIFT solution offerings and capabilities related to this project 4
  5. 5. Key Objectives Reduce Member Total Cost of Ownership (TCO) for CLS Connectivity by removing CLS gateway infrastructure and support Eliminate the issues & limitations of the legacy platform Provide standard connectivity solutions that leverage existing Member infrastructure by partnering with SWIFT Build on ISO 20022 standards for communication 5
  6. 6. High-Level Solution Details 6
  7. 7. Member Connectivity High-Level Architecture STP XML Channel Interface » ISO 20022 based XML messages » SWIFT InterAct Store and Forward Service as transport between Members and CLS STP – SWIFT FIN Channel Interface » Members can continue to use FIN CBT for MT based messaging over the SWIFT Network Browser based User Interface » A browser based GUI » Connectivity will be through the SWIFTNet Browse service » All communication will be encrypted via HTTPS and transactions will be subject to non-repudiation 7
  8. 8. Key Benefits Enhanced Resiliency Single URL across Prod/DR Reduced Complexity Improved Security Increased Performance ISO 20022 Messaging No CLS proprietary software & infrastructure Built on SWIFT secure network Batching* SWIFT InterAct Store & Forward Message replay based on InterAct Store & Forward Standardisation Ease of integration using standard SWIFT infrastructure Single-sign on using SWIFT framework & PKI offering Compression* Support for fine-grained access control Message redesign to optimize the size and number of messages transmitted SWIFTNet Browse ISO 20022 messaging Support SWIFT Single Window Support CLS Focused on Core Functional Support *only available with the new MI Channel from SWIFT 8
  9. 9. Connectivity Guidelines 9
  10. 10. CLS FX Member Interface Overview » Capability of at least 2 sites connecting to live service SWIFTNet » One system connecting to test service » Existing or new SWIFT connection SWIFTNet Gold or Silver connection PR W WC I0 A TC 0 C/ H WC I0 A TC 0 C/ H EH T AT C PR W W0 IC A TC 0 C/ H WC I0 A TC 0 C/ H EH T AT C O K A TC 1 C/ H A TC 1 C/ H CL O O K A TC 1 C/ H A TC 1 C/ H CL O » SWIFT network interface can be shared with other services (e.g. SWIFTNet FIN) SWIFTNet Link* SWIFTAlliance Gateway* SWIFTAlliance Access » CLS MQ Manager & STP client application or FIN CBT & STP application » Browser-based user interface MQ Server with Send and Receive queues Straight-through Processing CLS SWIFTNet Browse XML/MQ Client *Optional patch for MI Channel access 10
  11. 11. Target State Connectivity Options for Members Re-use SAA/CBT SNL upgrade to access new MI Channel Update existing CBT to support Enhanced InterAct SnF specifications Re-use existing CBT (with support for InterAct Store and Forward (SnF)) as is No Support for batching and compression Provided by SWIFT as an upgrade to existing SNL High performance and scalable solution Supports batching, compression, FIFO and replay functionality Simple MQ based integration Members/Vendors extend their existing InterAct SnF CBT to support batching and compression Specification for extended CBT will be provided by SWIFT upon request 11
  12. 12. Target State Interface Messaging Options for Members Re-use SAA/CBT SNL upgrade to access new MI Channel Update existing CBT to support Enhanced InterAct SnF specifications Different adapters available for integration depending on CBT (For example in SAA: MQ, SOAP, File transfer) ISO20022 payload is used with CBT specific Transfer Header. For example, SWIFT XML v2 header format is used when communicating using SAA Standard MQ interface ISO20022 payload is used with simple transfer headers as specified in the MI Channel interface specification ISO 20022 payload with other interface details as defined by CBT Vendor 12
  13. 13. Sample Configuration 1: Browser & XML Messaging using MI Channel » » Send/receive ISO20022 XML messaging flows for CLS over MI Channel, and existing FIN flows can continue to be used for submitting trade instructions and receiving statements MI Channel Benefits » High throughput capability using batching/compression » Secondary site synchronisation using replay capability » FIFO preservation of message flow *using MI Channel 13
  14. 14. Sample Configuration 2: Browse & XML messaging using SAA/CBT » » » Use Store and Forward (SnF) interface in SAA or SWIFT Certified CBT capable of processing SWIFT InterAct SnF Existing FIN flows can continue to be used for submitting trade instructions and receiving statements Members/Vendors will need to extend their existing InterAct SnF CBT if it is required to exploit the MI Channel batching and compression functionality » Specification for extended CBT will be provided by SWIFT upon request » Send/receive complete CLS ISO20022 XML messaging flows 14
  15. 15. Technology Approval Process 15
  16. 16. Overview » CLS Technical Architecture Document (TAD) provides a template CLS technical architecture and deployment details » The goal of CLS Technical Approval Process (TAP) is to prove that technical infrastructure is in line with the TAD » CLS conducts an annual review of TAD documents to ensure We therefore ask Members to provide an updated TAD on a yearly basis or sooner should their architecture change » TAP could be done in 1 day or extended into 2-day test process 16
  17. 17. Key information to be included in TAD SWIFTNet SnF Queue Details [CLS to Member – SNF Queues] Member.admi.xxx.opdata.batch Member.admi.xxx.instrnot.batch Member.admi.xxx.rep.batch [Member to CLS – SNF Queues] CLS.admi.xxx.opdata.batch CLS.admi.xxx.instrnot.batch CLS.admi.xxx.rep.batch Connect Gold NP1 NP1 NP2 VPN VPN NP2 VPN VPN Line Bandwidth (Information only) SAG/SNL (Information only) SNL SAG SNL SAG SNL SAG [Active] [Active] [stand-by] SNL SAG [stand-by] HSM Sizing High HSM High HSM MQ Setup MQ Setup Sync (or) Async Data replication Server Cross Site - Data Replication Server · · · Member Application – Processing ISO20022 CLS Messages User Client – Requirements Number of client - Req Authentication Model i.e., token or HSM 17
  18. 18. TAP Workflow Proving of SWIFTNet Browse connectivity with CLS JAS Proving JAS CLS SnF Configuration & connectivity via transmission and reception of messages Proving Browse connectivity from first Member PROD SWP location to CLS PROD Proving Browse connectivity from second Member PROD SWP location to CLS PROD (*Optional) Proving Production CLS SnF Configuration/ Connectivity message transmission and reception Failover from primary site to secondary site Proving the ability to recover messages (*if applicable) 18
  19. 19. Operational Approval Process Overview » The goal of Operational Approval Process (OAP) is to ensure that the business functionality is working as expected: » Input/amends/rescinds of instructions including same day, tomorrow, spot and forward value dates » Make low-value timed payments » Receive a Pay-In Schedule and produce a copy of a payment instruction based on that Pay-In Schedule » Receive and acknowledge Pay-In Calls for Account Value, Settlement and Currency close 19
  20. 20. Enhanced GUI Experience 20
  21. 21. CLS Browse GUI Features RBAC Roles Single SignOn Single URL CLS Browse Features NonRepudiation of GUI Transactions Simple User Provisioning Steps User Name + BIC 21
  22. 22. GUI Site map Dashboard Transactions Management Trade List Trade History Cash Management Account Balances Account Movements Commands and Messages Command List Command Detail Pay-In Detail Message List Pay-Out Detail Trade Detail Message Detail Trade Entry Trade Commands List Trade Command Detail Manual Account Transfer Static Data Management Settlement Member Information SSI Detail Branch List Institutional Branch List Settlement Projections Organisational Roles PIS List User List PIS Detail Payment Monitor Configure Dashboard Parameters 22
  23. 23. Member Migration Status Update 23
  24. 24. STAR Programme Member Migration Item Total Number of Members (control and standard branch) Confirmed migrations windows Member Migration Phase confirmation details # Phase 0 Phase 2 Phase 3 Sept 2014 to Mar 2015 to Sept 2015 to Aug 2014 4 Phase 1 April 2014 to 65 65 Early GUI / JAS onboarding Feb 2015 (7) 29 Aug 2015 32 Dec 2015 N/A [Contingency] Member Migration – Phase Confirmation Phase 0 Phase 1 Phase 2 6% 49% 45% 24
  25. 25. STAR Programme Member Migration Member Migration Status update Phase confirmation (Completed) Being done as first activity due to the importance for planning from both CLS and Member end Bi-lateral with members to highlight individual benefit and receive the phased approach GUI Demo (In Planning) To accomodate members in various timezones, will schedule 4 demos Planned to be presented as WebEx sessions early December Working with Phase 0 members to create a detailed onboarding and testing plan Member developers Highlighting benefits to start testing in Phase 0 (where possible) Create a separate onboarding plan and guide for members to start GUI access during Phase 0 This provides early and easy access to the GUI, in parallel to XML channel Phase 0 & 1 - preparation (in Progress) Early GUI adoption 25
  26. 26. STAR Programme Member Migration Documentation Updates » Key documentation has been updated: » XML Messaging Guide v1.2 » XML Messaging Business Scenario Pack Q4 2013 Contains messaging scenario examples for XML and FIN combinations » SWIFT MI Channel Interface Specification September 27 2013 » SWIFT Overview of message retrieval capabilities for SWIFTNet » CLS Member Vendor Website - Click Here » Library home / CLS1 / CLS1 Member Gateway Replacement » SWIFT Website - www.swift.com/cls 26
  27. 27. Appendix 27
  28. 28. GUI Overview Mock Ups Trade Detail » Introduced options to view history or action an amend and rescind from the detailed screen » New tab based navigation screen for faster and efficient access to the detail screen » Non-repudiation provided by SWIFT 28
  29. 29. GUI Overview Mock Ups » » » Pay-in Schedule List New accordion navigation for improved ease of use Single row for short and long positions New tabular design for CCY - GRID for improved readability 29
  30. 30. GUI Overview Mock Ups Trade Detail » Introduced options to view history or action an amend and rescind from the detailed screen » New tab based navigation screen for faster and efficient access to the detail screen 30
  31. 31. GUI Overview Mock Ups » » Member Payment Monitor Option to view the Member payment performance for the Main and the SDS session by selecting the session Added legend explaining the business meaning of colours available in the screen 31
  32. 32. GUI Overview Mock Ups » Pay-in Detail New tab-based navigation screen for faster and efficient access to the detail screen 32
  33. 33. Comparison of Messages FIN vs ISO 20022 vs Legacy Gateway Message IN/OUT * Swift FIN ISO 20022 Gateway Inputs and Payments Input IN MT300 or MT304 fxtr.014.001.02 Input Command Amend IN MT300 or MT304 fxtr.015.001.02 Amend Command Rescind (Unilateral) IN MT300, MT304 or MT392 fxtr.016.001.02 Rescind Command Rescind (Bilateral) IN - fxtr.016.001.02 Rescind Command Pay-out notification OUT MT900 camt.054.001.04 Account Movement Pay-in notification OUT MT910 camt.054.001.04 Account Movement Settlement notification OUT MT900 and MT910 camt.054.001.04 Account Movement Currency statement OUT MT950 camt.053.001.04 FIN report Withdrawal notification OUT - fxtr.013.001.03 Bulk status notification OUT - fxtr.030.001.02 Trade short notification OUT - fxtr.008.001.04 Trade full notification OUT - fxtr.017.001.02 * In / Out is with respect to CLS system 33
  34. 34. Comparison of Messages FIN vs ISO 20022 vs Legacy Gateway Message IN/OUT * Swift FIN ISO 20022 Gateway Schedules Pay-in call OUT - camt.061.001.02 Message Book Pay-in schedule OUT - camt.062.001.03 Pay-in Schedule Book Acknowledge Pay-in schedule IN - camt.063.001.02 Schedule Acknowledge Command Reference Data Global data query - - admi.009.001.02 (Static Data Request) admi.010.001.02 (Static Data Response) GDC / GLD reports Receive Message OUT - admi.002.001.01 (Message Failure) admi.004.001.01 (System Event) Message Book Acknowledge Message IN - admi.011.001.01 Acknowledge command Heartbeat OUT - N/A - » Note: The following have been excluded from consideration: » » » » CLS 2 User Member functionality Netted Inputs Functionality specific to internal CLS Bank users * In / Out is with respect to CLS system 34
  35. 35. Thank You 35

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