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GEMS - Notifications Tutorial - v005 - L4 - Master PDF
GEMS - Notifications Tutorial - v005 - L4 - Master PDF
Document History
The below table details updates to this tutorial:
Table 1: Document History
Version Compatibility
The below table indicates which versions of GEMS this tutorial is compatible with:
Table 2: Version Compatibility
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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS
Table of Contents
Document History ..................................................................................................... 1
Version Compatibility ............................................................................................... 1
Introduction ............................................................................................................. 3
Searching for Notifications ....................................................................................... 4
Setting up Notifications ............................................................................................ 5
Setting up a General Notification ........................................................................................ 5
Setting up an Ownership Notification .................................................................................. 8
Setting up an Automated Voting Group ............................................................................ 8
Setting up an Ownership Notification ............................................................................... 9
Setting up Threshold Criteria......................................................................................... 11
Adding Subscribers to a Notification ................................................................................. 12
Scheduling of Ownership Notifications .................................................................. 14
Ownership Notification Emails ............................................................................... 15
Notification Emails and Digests.............................................................................. 16
Configuring Notifications on the Alerts Panel ..................................................................... 16
Email Digests .................................................................................................................. 18
Notification Criteria for E-Filing Jurisdictions ........................................................ 19
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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS
Introduction
Notifications are an important feature of GEMS, particularly in relation to working with Electronic Filing
Documents. Administrators define Notifications to which Users subscribe, though it is also possible for Edit
Users to set up Notifications. There are four types of Notification you can set up in GEMS:
General Notifications - these are used to notify subscribers of specified data changes within the GEMS
system of corporate records - for example, company name changes, task status changes, document status
changes, appointments or resignations from an entity and so on
Ownership Notifications - these are used to notify subscribers of specified changes directly relating to
ownership percentages
Contract Notifications - these are used to notify various parties of milestones and other indicators
relating to contracts. See the ‘Contract Management Tutorial’ for details about this type of notification.
FR Y-10 Notifications - these are used to notify various concerned parties about any changes in GEMS
data that are reportable as part the FR Y-10 form (applicable for the US jurisdiction only). See the ‘FR Y-10
Tutorial’ for details about setting up this type of notification.
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Setting up Notifications
The following sections describe how to set up the different types of notifications. This is a task that can only be
done by an administrator user.
3. On the New Notification screen, enter a description for the new notification, for example, ‘Entity
Appointment Changes’.
Figure 2: New Notification screen
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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS
4. In the Item Type drop down menu, choose ‘Entity’. The other options in the Item Type menu are Task and
Document.
Figure 3: Choose Item Type ‘Entity’
5. In the Event field, the available options for item type Entity are Name Change, Status Change, Reporting
Status Change, Group Parent/Subsidiary, Entity Creation, Ownership Change, and Official
Appointed/Resigned.
6. Choose ‘Official Appointed/Resigned’ from the Event drop down list to set this as the notification event.
Figure 4: Choose the notification event
7. You must now click Criteria to specify the entity types that you want to be notified about.
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8. On the Criteria query builder screen, before you set up any criteria elements, the existing search list
returns all entities in the system.
Figure 5: Criteria builder screen
In this example, we will set up a notification to notify subscribers when there has been an appointment
change in a ‘Private Company Limited by Shares’ in the UK jurisdiction.
9. To specify the entity type, choose ‘Entity Type’ from the Category drop-down list and enter Private
Company limited by shares in the ‘Value’ field.
Figure 6: Specify entity type in criteria builder
10. Click the Search button to update the results list, which will now display Entities of type ‘Private Company
limited by shares’ only.
Figure 7: Updated entities list in Query Builder
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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS
11. In the Query Builder, choose ‘Incorporation’ in the Category field and then type England in the Value
field.
12. Click the Search button. This will refresh the screen to now show private companies in the England
jurisdiction only.
Figure 8: Updated Entities list with 2nd criteria
13. Click Done to return to the New Notification screen and then click Save. The Entity Appointment Changes
notification is now listed in the Notifications search.
Subscribers to this notification will receive emails when any appointments / resignations are done to
companies incorporated in England whose entity type is private company limited by shares. See the ‘Email
Manager Tutorial’ for details on how to modify the contents of the email.
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3. Enter a name for the group you are setting up and select the ultimate holding company from the
dropdown list or by using the search icon. Select whether the owner type should be the registered owner
or the beneficial owner. You can also specify whether unconfirmed transactions and non-current entities
should be included in the group.
Figure 10: Group Information Parameters (Automated) Lookup List
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CGS GEMS TUTORIAL: SETTING UP AND SUBSCRIBING TO NOTIFICATIONS
3. On the New Notification screen, enter a description for the new notification, for example, ‘Stakeholder
Reporting’. This should be unique.
Figure 12: New Notification screen
4. If you wish to create the notification based on a particular automated voting group, select the search icon
beside the ‘Group Information Parameters (Automated)’ field. A new pop-up window will be launched,
displaying a list of group parameters that have been previously set up as described in section ‘Setting up
an Automated Voting Group’. Choose an existing item or create a new set of parameters by selecting the
‘New Group Information Parameters (Automated)’ hyperlink.
5. In the ‘Report On’ drop down field, select what information you wish to report on. There are two options
available:
o All Transactions within Dates Specified - This allows you to report on each transaction that
occurs within the date range you specify, which corresponds with the threshold criteria you set up. For
example, you create two threshold criteria to alert you when the % Parent Interest Held passes 3%
and 6% for the date range 20/02/2008 – 21/02/2008, with the Recurring Period set to 'Day' and the
Recurring Amount set to '1'. If any transaction occurs during the date range which causes the %
Parent Interest Held to pass either 3% or 6%, the subscribers will be alerted to each transaction.
o Daily Differences between Balances within Dates Specified - This allows you to report on the
daily differences within the date range specified, which corresponds with the threshold criteria you set
up. For example, using the sample figures above, if the % Parent Interest Held figure passes 3%
during a day, then falls to 2%, and then passes 3% again, the system alerts the subscribers that the
3% threshold has been passed as at the end of the day balance. Only one notification will be sent out
for each affected entity, even though the 3% threshold was passed twice during the day. If the end of
day balance is less than 3%, no alert is sent. The system will then continue to check if the % Parent
Interest Held balance passes either the 3% or 6% thresholds daily e.g. between 21/02/2008 and
22/02/2008, then between 22/02/2008 and 23/02/2008 etc.
6. Enter a date in the ‘Date From’ field to specify the initial reporting period. This date must be less than the
‘Date To’ value.
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7. Enter a date in the ‘Date To’ field to specify the initial end period.
8. Specify the ‘Recurring Period’ for the notification. It can be specified on a daily, weekly, monthly or yearly
basis. The recurring period specified will be used to update the ‘Date From’ and ‘Date To’ values, when the
initial notification has been run. For example if the ‘Date From’ is set to 01/03/2008 and the ‘Date To’ is set
to 02/03/2008 and the ‘Recurring Period’ is set to ‘1 Week’, when the notification is run, the Date From of
the notification will be set to 02/03/2008, while the ‘Date To’ of the notification will be set to 09/03/2008.
This will continue to run on this basis unless the notification is updated or suspended.
9. The ‘Suspend’ field is used to suspend the notification, without the need to delete your notification details
i.e. thresholds and subscribers.
10. The ‘Company’ field enables the notification to be set so that you are notified about changes within all
companies or specific companies, by either choosing All from the drop down list, or selecting Apply Filter
and using the Criteria hyperlink to set up your required criteria.
11. The ‘Shareholder’ field, works in a similar manner to the Company field, and again you can choose to
report on all shareholders or specific shareholders using the Apply Filter option
12. Click Save to save the new notification event or Cancel to exit this screen without saving a record of the
notification event.
When the notification has been saved, a new Output section appears on the lower section of the screen
which will specify the email that will be sent to users. This section will be read-only in Edit mode. The
email sent is dependent on whether or not a group has been specified in the Group Information
Parameters (Automated) section of the notification.
13. If you want to run the notification immediately instead of waiting for the scheduler, select ‘Create
Notification(s) Now’ from the drop down menu and click the Go button.
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3. Select the ‘Condition’ which should be met. There are four options available:
o Any Change – this reports any change on the ‘Type of Interest’ selected. You will not have to specify
a specific Threshold value.
o Falls Below – this reports on when the selected ‘Type of Interest’ falls below the ‘Threshold’ value you
have entered.
o Passes – this reports on when the selected ‘Type of Interest’ goes above the ‘Threshold’ value you
have entered.
o Reaches– this reports when the selected ‘Type of Interest’ is equal to the ‘Threshold’ value you have
entered.
4. Enter a ‘Threshold’ value if you have selected any condition other than ‘Any Change’.
5. Click the Save button to save the new threshold. You can set up additional thresholds in the same way, if
required.
2. On the Notification Subscribers Search screen, click the Add Subscribers link.
Figure 14: Click Add Subscribers link
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3. Select the users from the pop up screen that is displayed. You can select multiple users and then click Go
to assign these user names as subscribers to the notification.
4. The subscribers you added are then listed in the Entity Appointment Changes notification on the
Subscribers list.
Figure 15: Subscribers added for notification
Each of the subscribers in the above list will be notified whenever an Entity of type ‘Private Company
Limited by Shares’ in the English jurisdiction has a change to its list of appointments.
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2. On the Alerts Panel, click Menu > Settings to open the panel configuration.
Figure 17: Alerts Panel
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3. Click the Email Settings tab to display the options for setting up email and notifications.
Figure 18: Alerts Panel - Email Settings
4. In the Receive Emails field, choose ‘Email Digests’ from the drop-down list.
5. Enter a figure in ‘Email Digest Days’ to set the frequency of the Email Digests arriving in the alerts panel.
For example, if you want an email digest every three days, enter the number 3.
6. To specify that you only want emails related to Notifications you have subscribed to, select the ‘Digest
Notifications Only’ checkbox.
Figure 19: Digest Notifications Only
7. Click the ‘Arrange List By’ drop down and select from the list to set the order in which the emails will be
displayed. The options are Date Sent, From Name, From Email Account, Email Subject.
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8. When you have selected all of the Email Settings, click Save.
9. You can check the Notifications you are subscribed to in the Subscriptions tab.
Figure 20: Subscriptions
Email Digests
An Email Digest is a single email, sent periodically, which includes all of the individual GEMS mails in one large
email. You can choose if you want to include all GEMS mail in this digest, or just Notification Type emails. If
you choose Notification Emails Only, you will receive other mails individually, but all Notification Subscription
emails will be received periodically in the Digest Email.
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The above examples are shipped with GEMS as the default criteria for Electronic Filing Status Change
Notifications, to ensure that users don’t set up duplicate notifications.
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