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FFIEC009 consolidated Issues (Doc ID 2740310.1)

Last updated on JANUARY 01, 2021

Applies to:

Oracle Financial Services - Regulatory Reporting for US Federal Reserve - Lombard Risk Integration Pack - Version 8.0.9 and later
Information in this document applies to any platform.

Goal

Issue 1-

The hierarchy HREG1179 :HIR - RR Reg Account Status is populated from COALESCE(DIM_REG_ACCT_STATUS.V_REG_ACCOUNT_STATUS_CD,'MSG')
This is populated from below join condition,
LEFT OUTER JOIN DIM_REG_ACCT_STATUS ON FCT_REG_FUND_LEND_DETAILS.N_REG_ACCT_STATUS_SKEY = DIM_REG_ACCT_STATUS.N_REG_ACCT_STATUS_SKEY

FCT_REG_FUND_LEND_DETAILS.N_REG_ACCT_STATUS_SKEY is populated from rule PRUS_FUND_LEND_ACC_REG_COLS_01

Then populated through RLUS_FRAS_REG_ACCT_STATUS_MAP which has below join condition,
INNER JOIN DIM_ACCT_STATUS ON DIM_ACCT_STATUS.N_ACCT_STATUS_SKEY = FCT_COMMON_ACCOUNT_SUMMARY.N_ACCT_STATUS_SKEY

And FCT_COMMON_ACCOUNT_SUMMARY.N_ACCT_STATUS_SKEY is populated as COALESCE(DIM_ACCT_STATUS.N_ACCT_STATUS_SKEY,NVL2(STG_LOAN_CONTRACTS.V_ACCT_STATUS_CODE,-1,0))
which is populated from below join condition,
LEFT OUTER JOIN DIM_ACCT_STATUS ON DIM_ACCT_STATUS.V_D_ACCOUNT_STATUS = STG_LOAN_CONTRACTS.V_ACCT_STATUS_CODE AND DIM_ACCT_STATUS.F_LATEST_RECORD_INDICATOR = 'Y'

Issue - The hierarchy expects value 'TRDIFN' but this V_D_ACCOUNT_STATUS is not available in DIM_ACCT_STATUS. Due to this hierarchy will never get populated.

-------------------------

Issue 2- The hierarchy HREG1338 HIR - RR Reg Reporting Line expects FFIEC009CL1,FFIEC009CL10,FFIEC009CL2,FFIEC009CL3,FFIEC009CL4,FFIEC009CL5,FFIEC009CL6,FFIEC009CL7,FFIEC009CL8,FFIEC009CL9 which utilizes multiple rules to populated the expected member code,
RLFD_FRFLRM_REG_RL_009C_01
RLFD_FRFLRM_REG_RL_009C_02
RLFD_FRFLRM_REG_RL_009C_03
RLFD_FRFLRM_REG_RL_009C_04
RLFD_FRFLRM_REG_RL_009C_05
RLFD_FRFLRM_REG_RL_009C_07
RLFD_FRFLRM_REG_RL_009C_08

Corresponding rules fail for few of the below mentioned issues,
Potential Issue 1 and 2:
• RLFD_FRFLRM_REG_RL_009C_02/ RLFD_FRFLRM_REG_RL_009C_05:
This rule uses the condition a_dim_boolean_rep_dom_acc_flag.v_flag_code = 'Y' which is populated from below join,
INNER JOIN dim_boolean_flags a_dim_boolean_rep_dom_acc_flag ON a_dim_boolean_rep_dom_acc_flag.v_flag_code = coalesce(fct_reg_fund_lend_details.f_domestic_customer_flag, N')
FCT_REG_FUND_LEND_DETAILS.F_DOMESTIC_CUSTOMER_FLAG populated from DECODE (DIM_ORG_STRUCTURE.V_COUNTRY_ID, DIM_PARTY.V_ISO_COUNTRY_CD, 'Y', 'N')
DIM_PARTY.V_ISO_COUNTRY_CD is completely NULL which is populated from STG_PARTY_MASTER.V_ISO_COUNTRY_CD which is completely NULL.
Due to this the whole rule fails to classify.

• RLFD_FRFLRM_REG_RL_009C_03:
This rule uses the condition a_dim_cust_lv_ownership_type.v_ownership_type = 'PSE' which is populated from below join,
INNER JOIN DIM_OWNERSHIP_TYPE A_DIM_CUST_LV_OWNERSHIP_TYPE ON FCT_REG_FUND_LEND_DETAILS.N_CUST_LV_OWNERSHIP_TYPE_SKEY = A_DIM_CUST_LV_OWNERSHIP_TYPE
.N_OWNERSHIP_TYPE_SKEY
FCT_REG_FUND_LEND_DETAILS.N_CUST_LV_OWNERSHIP_TYPE_SKEY is populated from below condition,
COALESCE(A_DIM_CUST_OWNERSHIP_TYPE.N_OWNERSHIP_TYPE_SKEY, NVL2(DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE, -1, 0))
Which has following join,
LEFT OUTER JOIN DIM_OWNERSHIP_TYPE A_DIM_CUST_OWNERSHIP_TYPE ON A_DIM_CUST_OWNERSHIP_TYPE.V_OWNERSHIP_TYPE = DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE AND DIM_DATES.D_CALENDAR_DATE BETWEEN A_DIM_CUST_OWNERSHIP_TYPE.D_RECORD_START_DATE AND A_DIM_CUST_OWNERSHIP_TYPE.D_RECORD_END_DATE
DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE is completely NULL. Due to this the rule fails to classify

• RLFD_FRFLRM_REG_RL_009C_07 and RLFD_FRFLRM_REG_RL_009C_08:
This rule uses a_dim_cust_lv_ownership_type.v_ownership_type which is populated from below join,
INNER JOIN DIM_OWNERSHIP_TYPE A_DIM_CUST_LV_OWNERSHIP_TYPE ON FCT_REG_FUND_LEND_DETAILS.N_CUST_LV_OWNERSHIP_TYPE_SKEY = A_DIM_CUST_LV_OWNERSHIP_TYPE
.N_OWNERSHIP_TYPE_SKEY
FCT_REG_FUND_LEND_DETAILS.N_CUST_LV_OWNERSHIP_TYPE_SKEY is populated from below condition,
COALESCE(A_DIM_CUST_OWNERSHIP_TYPE.N_OWNERSHIP_TYPE_SKEY, NVL2(DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE, -1, 0))
Which has following join,
LEFT OUTER JOIN DIM_OWNERSHIP_TYPE A_DIM_CUST_OWNERSHIP_TYPE ON A_DIM_CUST_OWNERSHIP_TYPE.V_OWNERSHIP_TYPE = DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE AND DIM_DATES.D_CALENDAR_DATE BETWEEN A_DIM_CUST_OWNERSHIP_TYPE.D_RECORD_START_DATE AND A_DIM_CUST_OWNERSHIP_TYPE.D_RECORD_END_DATE
DIM_CUSTOMER.V_LV_OWNERSHIP_TYPE is completely NULL. Due to this the rule fails to classify

This rule uses the condition a_dim_boolean_rep_dom_acc_flag.v_flag_code = 'Y' which is populated from below join,
INNER JOIN dim_boolean_flags a_dim_boolean_rep_dom_acc_flag ON a_dim_boolean_rep_dom_acc_flag.v_flag_code = coalesce(fct_reg_fund_lend_details.f_domestic_customer_flag, N')
FCT_REG_FUND_LEND_DETAILS.F_DOMESTIC_CUSTOMER_FLAG populated from DECODE (DIM_ORG_STRUCTURE.V_COUNTRY_ID, DIM_PARTY.V_ISO_COUNTRY_CD, 'Y', 'N')
DIM_PARTY.V_ISO_COUNTRY_CD is completely NULL which is populated from STG_PARTY_MASTER.V_ISO_COUNTRY_CD which is completely NULL.
Due to this the whole rule fails to classify.

Potential Issue 3:

• RLFD_FRFLRM_REG_RL_009C_05
Rule has filter condition as
AND ( ( a_dim_business_domain_cust.v_business_domain_code = 'FACTOR' )
OR ( a_dim_business_domain_cust.v_business_domain_code = 'OTHFINT' ) ) which is populated from STG_PARTY_MASTER.V_BUSINESS_DOMAIN and this only has INS,PEFUNF,REIT,MFUND,RBPF,BRDEL which do not include the required data which is FACTOR and OTHFINT. Need clarification on the same.


 

Solution

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In this Document
Goal
Solution
References


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