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View content, including record layouts, best practices, and proposals for the Automated Customer Account Transfer Service (ACATS) modernization.

View the ACATS Modernization - Shortened ACATS webinars.

View the draft version of the Automated Customer Account Transfer Service (ACATS) modernization input record layouts.

View the draft version of the Automated Customer Account Transfer Service (ACATS) modernization output record layouts.

This ACATS Overview is divided into five webcasts and is intended to serve as an introduction to ACATS processing. It should be supplemented with additional training demonstrating how to use the ACATS application along with a thorough review of the ACATS User GuideACATS DTCC Web Portal User Guide, and ACATS Record Layouts.

If you choose to test your knowledge by answering the questions at the conclusion of each webcast, your results are provided to you via email.

We invite you to complete the user surveys available beneath each webcast in the series. DTCC Learning welcomes your input and will review any suggestions you submit about the ACATS Overview webcast series.

To view and access the Parts 1 - 5 links, login to the Learning Center.

Learn more about ACATS important notices, membership, user guides, record layouts, and technical documentation. You may need to login to view this content.

Aaccess test cases and instructions specific to the ACATS Reversals Testing process. You may need to login to view this content.

View the current ACATS record layouts.

Note: For record layouts and content associated with the upcoming modernization initiative, see ACATS Modernization.

 

 

This section is dedicated to CTS Important Notices, Working Group Meeting Notes and Technical documentation. You may need to login to view this content.

View the answers to frequently asked questions about CNS Ancillary Services. 

Watch the two-part CNS Overview Webcast to learn more about continuous net settlement in the CNS service. Login to the Learning Center to access the part 1 and 2 CNS overview videos

Learn more about CNS, including using the dashboard, reports, features, exemption instructions, and business case examples. Login to view this content.

In response to events relating to the close-out of Lehman Brothers in 2008, NSCC and DTC have been engaged with the industry in a series of initiatives designed to improve the efficiency and reduce risks associated with transactions processed through NSCC’s Automated Customer Accounts Transfer service (“ACATS”). Previous initiatives focused on CNS-eligible and mutual fund ACATS obligations.

As a next step in this series of initiatives, a new ACATS settlement process has been developed for enhanced efficiency and risk reduction for ACATS transfers of CNS-eligible securities and assets that are eligible for settlement at DTC, but not in CNS (“non-CNS DTC-eligible assets”).

The changes address processing and risk-related concerns with respect ACATS processing of CNS-eligible securities and non-CNS DTC-eligible assets including:

  • First, this initiative creates functionality for NSCC to track non-CNS DTC-eligible ACATS obligations on ACATS settlement date and reverse only those uncompleted transactions of the defaulting Member in the event of a default. Previous initiatives focused on reversals of CNS-eligible and mutual fund ACATS obligations.
  • Second, the proposed modifications allow NSCC to track CNS ACATS transactions in case of multiple Member defaults on ACATS settlement date.
  • Third, revised processing ensures that non-CNS DTC-eligible items are credited to a no lien location, in the same way that CNS eligible items are.

The project completed migration to production in June 2014.

For more frequently asked questions, see CNS ACATS and DTC Frequently Asked Questions, also available in the ACATS User Guides section

View the SMART/Track for CNS Corporate Action Notification Service User Guide and answers to Frequently Asked Questions about CNS Corporate Actions.

The SMART/Track for Corporate Action Notification Service User Guide describes the SMART/Track for CNS Corporate Actions system, including how to view corporate actions, manage instructions, and search for voluntary corporate actions. Published on 16-September-2015.

Within the SMART/Track for CNS Corporate Actions application, Participants can request displays of voluntary and mandatory reorganization events that have been announced and are at/or are approaching their action date.

Learn how to add and manage instructions in the SMART/Track CNS CA Web application.

Learn how to search for voluntary corporate actions in the SMART/Track CNS CA Web application.

Learn how to manage optional dividends in the SMART/Track CNS CA Web application.

The enhanced CBRS service extends its efficiencies and capabilities to transfer agents, issuers, mutual funds, custodian banks, and broker/dealers to move cost basis information from one financial firm to another on all assets. Login to the Learning Center, and then expand the sections below to learn about CBRS Input Information Flow, Content Types for Input Records, how Asset & Tax Lot Records Form a Package, and basics CBRS Processing.

For training about Using CBRS, watch the webcasts available in the CBRS Overview and CBRS Procedures. You can also view CBRS documenst and download the CBRS User Guide and record layouts.

Learn how to create transactions using CBRS. See also CBRS User Guide and CBRS Documents

There are multiple ways to work with a transaction that is pending. In this section we will go over how to add more assets, how to add more tax lots, display transactions you have submitted, view all existing transactions and use the search criteria to display a specific transaction.

Expand the sections below to learn more about working with pending transactions. Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

You can delete transactions from the Transfer List page or the Transfer Information Update page. See also CBRS User Guide and CBRS Documents

There are multiple ways to update a transaction that you have submitted. In this section we will go over how to view and update transfer information, view and update assets, delete assets, view and update tax lots, and delete tax lots.

Expand the sections below to learn more about editing transfer information, asset records, and tax lot records. Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

When you submit transactions in CBRS (after creating new transactions or modifying existing transactions), you are creating pending transactions that must then be sent to DTCC. In this section we will show you how to send a batch to DTCC, view a sent batch, verify that your file was sent successfully, and resend a batch.

Expand the sections below to learn more about working with batches. Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

As an alternative to using the Transaction Input pages of the CBRS web interface (see Creating CBRS Transactions), you can submit your cost basis records to CBRS by entering your asset and tax lot records into a Microsoft Excel spreadsheet, and then uploading that spreadsheet to CBRS through the DTCC Web Portal.

Notes:

  • Your spreadsheet cannot exceed 1000 rows.
  • CBRS supports MS Excel 2007 or later (.xlsx). Spreadsheets created with earlier versions may not work.

Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

You can perform cost basis transaction inquiries using one of the following methods:

  • Quick Search: Specify a CBRS control number

  • Advanced Search: Enter a combination of search criteria

You can display only those transactions for which your firm is either the submitter or receiver. The transactions that match your search criteria appear on the bottom half of the page. When a transaction has more than one asset, CBRS displays each asset on a separate row.

After displaying your search results, you can display details for specific assets and for the tax lots associated with those assets.

Cost Basis Inquiry screens, including the download function, may not be available when the application is processing records. This processing occurs four times per day, at approximately 9:15 A.M., 11:15 A.M., 1:15 P.M., and 4:15 P.M. Eastern Time. At these times, you may not be able to use the inquiry or inquiry download functions. The screens automatically become available again when processing is complete. If you encounter an error at approximately these times, try your inquiry again later.

Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

You can view and download reports. You can also download data sets that you have requested through the Cost Basis Inquiry page. Login to view all of the content in this Learning Center.

See also CBRS User Guide and CBRS Documents

This section is dedicated to CBRS Important Notices & Fee Schedule, CBRS Technical Documents, CBRS User Guides & FAQ Documents. You may need to login to view this content.

The Using Limit Monitoring section provides reference information about Risk Entities & Trade Arrays, Start-Of-Day Position, Position Monitoring & Alerts, Email functionality and End-Of-Day Reporting for the DTCC Limit Monitoring Tool.

Access Coordinator Provisioning describes how to use the Customer Registration System (CRS) as a Super Access Coordinator or Access Coordinator to provision Operator ID’s with the DTCC Limit Monitoring products.

This section is dedicated to Limit Monitoring Important Notices, User Guides & FAQs, and Technical documentation. You may need to login to view this content.

NSCC's ETF process automates the creation and redemption of ETFs when the underlying securities are eligible to be cleared through NSCC. NSCC reports, clears and settles ETFs and their underlying securities through its creation/redemption process. NSCC’s ETF processing service includes a web based tool displaying the ETF’s portfolio constituents and relevant cash amounts. The browser based application data can be down loaded by Members as an excel spreadsheet. Members may also elect to receive a data file of the same portfolio information.

In the event the securities underlying an ETF are not NSCC-eligible, NSCC’s ETF processing service allows Members to customize standard portfolios by excluding those securities and substituting those securities with cash or with another NSCC eligible security. The customized portfolios can then be used to create and redeem the ETF within NSCC’s ETF processing.

NSCC also clears and settles U.S. listed ETFs that are traded in the domestic secondary market. In addition, ETF Agents and Authorized Participants have access to a self-service web based tool that enables them to monitor and maintain relationships in connection with these creation and redemption transactions.

Within the NSCC ETF Processing section of this learning center, you can learn about: 

  • PCF Submissions

 

Within the Trade Relationship Management system area of the learning center you will learn how to:

  • Log in to the TRM system
  • View the TRM Dashboard
  • Create a new trading relationship
  • Approve or reject a trading relationship 
  • Maintain a relationship contact 
  • Search for a trading relationship and view relationship details
  • Update a trading relationship 
  • Delete a trading relationship

Expand the relevant sections to learn more about identifying Index Receipt Agent and Authorized Participant responsibilities for each stage of the ETF lifecycle, including:

  • Actions to take
  • Reports to monitor

If you do not see expandable topics, login to view all of the content available in the Learning Center.

See also: ETF Sample Reports

This section is dedicated to ETF FAQ's/Key Definitions, ETF Sample Reports and ETF Historical MRO File Specifications. You may need to login to view this content.

 

 

The Obligation Warehouse was approved by the Securities and Exchange Commission (SEC) to replace the legacy RECAPS (Re-Confirmation and Pricing Service) system. OW provides NSCC Members with the technology and functionality of a trade matching facility and automated confirmation process to submit ex-clearing obligations not otherwise submitted to NSCC through its trade comparison or recording services.

Login to view Obligation Warehouse content in this Learning Center. Next, use the expandable menu below to learn about the Obligation Warehouse features and access training tools for the Obligation Warehouse Web.

See also: Obligation Warehouse Documents.

This section is dedicated to Obligation Warehouse important notices, user guides, record layouts, and testing content. Login to view Obligation Warehouse content in this Learning Center.

Expand the Using TRM menu items to learn how to use the Trading Relationship Management web-based application. You will need to log in to access this content.

The UTC Dashboard displays alerts for relationships that you or your counterparty have created and require attention, or that you have saved, but not yet submitted. 

Click the article below to learn more about using the dashboard.

You can approve, reject or update pending relationships that have been submitted by your counterparty. For relationships where one or both participants are sponsored participants, sponsors must also approve new relationships. Sponsors can also reject the pending relationship.

Using the Search Relationship menu item of the TRM application, you can search for your trading relationships linked to the current or selected participant. You can search by:

  • Trading Relationship Type
  • Requested Effective Date
  • Trading Relationship Status
  • QSR Execution Platform
  • Actual Effective Date
  • Executing Broker ID for Trade Editing
  • Participant ID
  • Executing Broker ID
  • Participant Name

You can use the TRM Upload Tool menu to upload a Microsoft Excel spreadsheet containing new trading relationships and updates to existing relationships.

Spreadsheet Upload Overview

Your spreadsheet cannot exceed 1000 rows.

To use the upload tool menu:

  1. Save the spreadsheet as an Excel Workbook file.
  2. From the Upload Trading Relationship page, submit the upload spreadsheet you have created. For more information, see Uploading Spreadsheets.
  3. If the system rejects your spreadsheet, investigate the issue, correct the errors, and submit the spreadsheet again.

View, add, update, or delete your firm’s user contact information by clicking the Contacts tab from the main menu.

  • Search contacts.
  • Add a new contact.
  • Select and update a contact.
  • Select and delete a contact.
  • Select and view a contact.

View the affiliates list by clicking the Affiliates tab from the menu. Doing so displays the list of affiliates (NSCC Participants) that share the same Global Ultimate Parent (GUP) for the logged-in participant.

This section is dedicated to UTC Guides & Notices and UTC Input/Output Message Formats and other Technical documentation. You may need to login to view this content.

CTM™ supports clients who trade in debt and equity, futures and options (ETDs), and repurchase agreements (repos) across multiple user interfaces and message interfaces.

User Interfaces include:

  • UI 4.0 for debt and equity client (limited, but streamline functionality) 
  • Trade blotter for debt, equity, futures, and options clients
  • Trade blotter for repurchase agreements

Message Interfaces include:

  • Direct XML interface
  • Financial Information eXchange (FIX 4.4) interface
  • Message Translation Interface (MTI)

Settlement and Other Notification Services include:

  • Trade blotter for managing settlement notification at pre-MATCH AGREED or MATCH AGREED.
  • SWIFT MT541/543 message specification, which includes corresponding Comma-Separated Value (CSV) mapping with examples.

Data Reference includes:

  • Product overview 
  • Commmon reference data and error code data reference 4.0 for debt and equity clients
  • Asset class overview for repos

At the end of the trade lifecycle, leverage the following additional services that store and maintain trade history:

  • Confirm Archive Service
  • Confirm Disclosure Service—Omgeo inSITE®

 You can use the dashboard, UI 4.0, and trade blotter to configure you environment, handle exceptions, enter trades, manage settlement notifications, and other activities. 

The CTM User Interface 4.0 (CTM UI 4.0) is available to all existing users of the CTM User Interface. It offers improved functionality and security while it is even easier to use. There is also no need for Java to access this version of the user interface. 

Transition to the new interface is straight forward, flexible and cost-free. Users can access both their existing version of the CTM UI and CTM UI 4.0 at the same time, allowing users to decide when to begin the transition to UI 4.0. This helps to bridge any gaps in functionality that have not yet been built and gives both users and organizations full control and flexibility of when and how to begin the transition.

The CTM UI 4.0 benefits at a glance are:

  • No client-side Java dependency
  • Performance optimization
  • Improved end user experience
  • Refined UI security
  • Ability to break cross-paired trades and pair with the correct trade
  • UI 4.0 can be used in parallel with older versions of the CTM UI

UI R6

 

View content below to find more information about how to upgrade, available functionality and documentation and training resources to help get you up to speed.

The CTM service provides several notification services.

Settlement Notification

The CTM service includes optional settlement services for the trade life cycle. Use the following documentation to learn more:

Other Notification Services

The following table summarizes the additional notification services that you can deploy alongside your standard CTM functionality. 

Notification ServiceDescription
Trade Notification The CTM service provides status information about MATCH AGREED (MAGR) and CANCEL MATCH AGREED (CMAG) trades to prime brokers and other instructing party designees.
CCP Notification Prime brokers send Notification Action messages to the CTM platform for MATCH AGREED (MAGR) trades to approve, reject, stop, or cancel CCP notifications. The NotificationAction triggers a CCP notification to EuroCCP. 
Depository Notification The CTM service provides MT543, and MT548 (MT54x) messaging for MATCH AGREED (MAGR) trades to the CDSX on trade date for the Canadian securities market.
CFI Notification The CTM service provides copies of trade information for MATCH AGREED (MAGR) and CANCEL MATCH AGREED (CMAG) trades. 

Use the following  document to learn more about all of the other notification services.


Note: If you use ALERT for standing settlement instructions (SSIs), see the ALERT area in the Learning Center for training and documentation resources.


For debt (fixed income) and equity asset class trades, the following message interface specifications and supporting files are available:

Direct XML

Direct XML

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CTM: XML Message Specification: Debt/Equity and Common MessagesCTM: XML Message Specification: Debt/Equity and Common Messages

Comprehensive reference for debt/equity messages and messages shared with other supported asset classes. Refer to the Common Reference Data and Error Code Data Reference when you use this document.

Oct 30, 2019
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CTM: XML DTDs (Debt and Equity)CTM: XML DTDs (Debt and Equity)

A zip file of XML Data Type Descriptors (DTDs) currently in Client Test and Production.

Aug 23, 2019

Financial Information eXchange (FIX)

Financial Information eXchange (FIX)

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CTM: FIX 4.4 Interface Message Specification: Investment Managers (Current)CTM: FIX 4.4 Interface Message Specification: Investment Managers (Current)

Describes the fully-automated, push-enabled FIX 4.4 interface for investment managers using the CTM service.

Sep 11, 2019
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CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Current)CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Current)

Describes the fully-automated, push-enabled FIX 4.4 interface for broker/dealers using the CTM service.

Sep 11, 2019
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CTM: FIX 4.4 Interface Message Specification: Investment Managers (Legacy)CTM: FIX 4.4 Interface Message Specification: Investment Managers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for investment managers using the CTM service.

Aug 13, 2018
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CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Legacy)CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for broker/dealers using the CTM service.

Aug 13, 2018

Message Translation Interface (MTI)

Message Translation Interface (MTI)

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CTM: MTI .DAT Files for Broker/DealersCTM: MTI .DAT Files for Broker/Dealers

The MTI_Transactions.dat and MTI_Records.dat files that describe the format of the import and export transactions for broker/dealers using MTI.

Oct 15, 2012
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CTM: MTI Specification: Debt/Equity for Broker/DealersCTM: MTI Specification: Debt/Equity for Broker/Dealers

A  detailed specification of the CTM message translation interface for broker/dealers.

May 14, 2019
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CTM: MTI Specification: Debt/Equity for Investment ManagersCTM: MTI Specification: Debt/Equity for Investment Managers New!

An overview of the CTM message translation interface for investment managers trading in debt and equity.

Nov 21, 2019

Use the documents here for product release information, an overview of the CTM service, controlled values for fields, definitions of fields, error handling, FAQs, best practices, and other areas.

The CTM Client-Facing Dashboard is a tool available to investment manager clients for configuring and maintaining matching profiles and Broker Matching Groups (BRMGs)—both essential components in the matching process.

dashboard

Matching Profiles

The criteria used by the CTM service to determine whether a trade submitted by an investment manager should match with the trade submitted by its counterparty. This criteria is chosen by the investment manager and all matching profiles are set up and configured using the Dashboard.

Broker Matching Groups (BRMGs)

The investment manager must identify the counterparty on each trade sent to the CTM service and this information is a Level 1 (L1) matching field. Therefore, it must match with the identifier of the sending broker. The CTM service provides BRMG functionality to facilitate this process where the investment manager uses one identifier that corresponds to multiple broker entities.

Enrichment is the process by which standing settlement instructions (SSIs) and account information from the ALERT platform is added to trades sent for matching in the CTM service. The provision of accurate and up-to-date SSIs by both parties to a trade improves efficiency in the settlement cycles, and can reduce the risk of settlement failure and is one of the key enablers to achieving a no-touch workflow.

In CTM, SSI information is available to both counterparties. Investment managers' and broker/dealers' SSIs are part of the "common view", which reflects the final paired and matched values of a MATCH AGREED (MAGR) trade. Clients are advised to incorporate the SSI information as part of the matching process.

In order to enable enrichment from ALERT, users link their CTM entity to an ALERT entity and then enrich using one of a number of SSI subscriptions depending on how they have chosen to leverage the functionality. 

Download  pdf Leveraging ALERT for CTM Enrichment (79 KB)  which provides a brief outline of the enrichment functionality.

 

This area of the Learning Center provides you with information on the different options availble to enrich your ALERT SSIs to your CTM trades.

Note that access to some learning resources requires you to be logged in. Once logged in, all learning content will be visible. 

Click Login or Register in the top right area of this screen to begin the process. 

 

How to Use Enrichment

There are a number of options available to all CTM clients that enable them to successfully enrich the SSIs they have stored in ALERT on 100% of their trades:

  • ALERT Key Auto-Select (AKAS)smart enrichment capability that leverages a combination of rules-based logic and client drive profiles to automatically enrich CTM trades with preferred SSIs from ALERT.
  • User-provided keys: when a trade is submitted to the CTM service for matching, both broker/dealers and investment managers can provide a set of fields that activate the enrichment process. These fields enable the selection of the SSI specified by the CTM client and adds this SSI to the trade message in CTM
  • Additional considerations: when implementing enrichment using either ALERT Key Auto-Select or user-provided keys, there is other functionality available which will allow you to fully leverage the benefits of enrichment e.g. Facilitated ALERT Enrichment (FAE), PSET matching

Click on each of the options above to learn more about how each functionality works and how to enable it with your CTM and ALERT configuration.

 

Organization of ALERT SSIs

In order to understand how the enrichment process works, it is important to firstly understand how SSIs are structured in the ALERT platform. All SSIs in ALERT are classified according to the Country (of Settlement), Security and Method (final depository where settlement takes place).

Broker/dealers organize their SSIs under Settlement Models, whilst investment managers organize their SSIs under Access Codes which represent their accounts or funds. For any given Settlement Model or Access Code, the Country-Security-Method combination must be unique.

Criteria for enrichment from the ALERT platform

The TradeSuite ID service provides users with a web-based user interface for the following modules:

  • Broker Trade Input (BTI)
  • Confirm/Affirm
  • ID Directory
  • NearMatch

Use the following documentation and training resources to learn more about each module and view step-by-step instructions about how to perform key functions.

The OASYS Trade Match solutionmatches the allocation input supplied by institutions to allocated level trade input supplied by broker/dealers. If institution allocation input and broker/dealer trade input matches prior to noon on T+2 for DTC-eligible securities, and the institution is the designated affirming party, the TradeSuite ID service:

  • Produces a Matched-Affirmed confirm
  • Distributes copies to trading, settlement, and other interested parties
  • Stages the trade for automated settlement.

Use the following resources to learn more about how to use OASYS Trade Match.

 

OASYS™ is the US domestic trade allocation and acceptance service that communicates trade and allocation details between investment managers and broker/dealers, You can find support for the following areas:

Area of InterestDescription
OASYS -TradeMatch™  A centralized matching system for US trades. Investment managers feed OASYS allocations into the TradeMatch system to match or match-affirm confirmations that were input by executing broker/dealers.
OASYS Direct & Workstation


The two interfaces you can use to work with trades in OASYS:

  • Direct is the XML interface, which includes corresponding .XSD files.
  • Workstation is the web application user interface

To learn more, select an OASYS topic from the menu on the left.

 

Training and documentation is categorized below according to the release of OASYS that you are using. The following two documents are also non-release specific and relevant to all OASYS users.

DTCC is committed to provide secure and efficient access to OASYS workstation users. Since F5 Fire Pass is out of support we've upgraded the F5 SSL VPN device to BIG IP Edge to improve security when connecting to our service. As a result OASYS workstation users will need to take appropriate actions before the deadline to avoid disruption and loss of connection to the OASYS service in Production.

Client Action

OASYS workstation users need to install the BIG IP Edge Client software and connect to the new VPN URL. Below you will find step by steps instructions on how to install the BIG IP Edge Client software and modify your OASYS workstation connection configuration settings specific to the version of OASYS you are currently using.

 

If required, the below instructions can be printed and/or saved to PDF by using your browser printer options.

This section provides documentation covering features, functionality and best practices that apply across multiple Institutional Trade Processing services. It also contains resourches for using HTTPS, SFTP, MQ, and compliance requirements.

To learn more, select a topic from the menu on the left.

The DTCC Exception Manager service is a venue to publish, manage, and communicate on exceptions throughout the trade lifecycle process. This exception and workflow management service supports all securities transactions globally.

The DTCC Exception Manager service centralizes and standardizes exception processing to enable faster resolution and deliver a significant reduction in the number of exceptions. The below videos demonstrate how DTCC Exception Manager can be used in the day-to-day resolution of trade and settlement exceptions.

User Story 1 - A Manager's Perspective

User Story 2 - A Team Member's Perspective

In this area of the Learning Center, you can find documentation that provides an introduction to the DTCC Exception Manager service (see Service Overview), technical documentation about the data submission process (see Exception Data Processing: Reference and Message Specification), as well as short videos covering the functionality available in the DTCC Exception Manager User Interface.

A list of all asset classes and instrument types that can be processed through the use of the DTCC Exception Manager service can be found in the  pdf ITP Asset Class Coverage (163 KB) .

Note that access to some learning resources requires registration. Click Login or Register in the top right area of this screen and provide a business email to begin the process. Once logged in, all learning content will be visible.

The Broker Lift Out service complements the ALERT ASSIsT service by providing broker/dealers with the opportunity to have a single route for all SSI changes, using the ALERT Direct interface. t

When a broker/dealer subscribes to this service, DTCC maintains the broker/dealer's clients' SSIs within the ALERT platform. DTCC reuses the existing ALERT Direct interface connection to route SSI changes in a standardized manner to only the nominating broker. The ALERT Upload Guide for Brokers describes how to upload broker-managed reference data into ALERT Plus formats for onward loading to the ALERT platform . This process supports initial loading of accounts and standard settlement instructions pertaining to the Broker Lift Out Service.

ALERT ASSIsT

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ALERT Upload Guide for ASSIsT and Broker Lift Out ClientsALERT Upload Guide for ASSIsT and Broker Lift Out Clients

This document describes how to upload broker-managed reference data into ALERT Plus formats for onward loading to the ALERT platform. This process supports initial loading of accounts and standard settlement instructions pertaining to the ALERT ASSIsT and Broker Lift Out services.

Aug 23, 2019

The inSITETM service provides a web-based repository for storing broker/dealer confirmation disclosures. It allows broker/dealers to post their disclosures to the inSITE web site based on established enrichment profile crtieria that generates a reference number unique to that specific disclosure document. The confirm submitted by the broker/dealer through the CTM and TradeSuite ID services is then enriched with the inSITE URL and reference number assigned to the relevant disclosure. Investment managers and parties to the trade can then use the URL and reference number to view the associated confirm disclosure through the inSITE Viewer web site.

Providing the confirm disclosure with the trade confirm reduces costs for the broker/dealers, since they can eliminate the mailing of paper confirms.

Use the following resources to learn more about how the inSITE service works, for both broker/dealers who need to upload confirm disclosures and establish enrichment profiles and counterparties who want to access and view the enriched confirm disclosures.

CTM Confirm Archive and TradeSuite ID Confirm Archive are real-time, web-based services that allows users to electronically search and retrieve trade confirmations matched in either CTM or TradeSuite ID. Users can log in to the service to access up to ten years of confirmation history quickly, easily and efficiently. Confirm Archive streamlines archive management while complying with all requirements for retention and safekeeping of electronic confirmations. 

Use the following resources to learn more about how Confirm Archive works for both users of the CTM and TradeSuite ID services.

View the pdf How-To Guide: Watchlist Functionality on CA Web (226 KB)  for instructions on using CA Web's Watchlist functionality.

Use the Parameters for Uploading a Watchlist to CA Web to view a set of rules for using the watchlist.

Please log in to the Learning Center to view content in this section.

This section presents the data model in terms of the CA Web.

 

Message Specifications

ISO 20022 Message Specifications for Entitlements and Allocations SR 2019 (message schemas)

 

User Guides

User Guide: ISO 20022 Messaging for Distributions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types CACO, CARE, and CAPS.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2019 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2019
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions, Redemptions, and Reorganizations Entitlements and Allocations Data Dictionary SR 2019

ISO 20022 Message Specifications for Entitlements and Allocations SR 2019 

(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

Message Specifications

Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2017 

ISO 20022 Message Specifications for Entitlements and Allocations SR 2017
(message schemas)

User Guide

User Guide: ISO 20022 Messaging for Redemptions Entitlements and Allocations
This PDF user guide contains all of the information provided in the links below.

Note: Please see the User Guide for reason codes and message types.

This guide describes the Custody Eligibility system which allows you to obtain Custody CUSIPs through self-service, speeds your ability to make depostis quickly, and promotes straight-through processing of Custody deposits.

Custody safekeeping functionality consists of:

  • Deposits
  • Withdrawals
  • Transfers for Re-registration and Denomination Breakdowns
  • Location Moves for Voluntary and Mandatory Reorganizations
  • Inquiry

Custody Safekeeping is presented in the following webcast series which is intended to provide an Overview of the Custody safekeeping services.

Click the drop-down menu items below to access Parts 1 - 4. You will need to be logged into the Learning Center as a registered user to view them. 

DTC’s Legal Notice System (LENS) service offers access to a comprehensive online library of notices concerning DTC-eligible securities that are published and furnished by third-party agents, courts and security issuers.

 

If no articles display under the categories listed below, please log in to the Learning Center to view the protected content.

To view other topics for Settlement Web, click the links on the left. If no articles display under the categories listed on the left, login to view all of the content available in the Learning Center.

Settlement, a consolidated end-of-day process and the final step of a securities trade, completes the transfer between trading parties of securities ownership and cash. DTC, the central securities depository subsidiary of DTCC, provides settlement services for virtually all broker-to-broker equity and listed corporate and municipal debt securities transactions in the U.S., as well as institutional trades, money market instruments and other financial obligations.

Click a subcategory name below to view articles on that topic.

  

Below are the settlement files that are transmitted to clients from DTC. Each document describes the purpose, availability, headers, and detail records that comprise that function.

To see the full list by Business Line http://dtcc.com/asset-services/ccf.aspx

and by an Alphabetical Listing, go to http://dtcc.com/asset-services/ccf-alpha.aspx.

The Profile Security Database (Profile Security) is one of three databases that comprise the Mutual Fund Profile Service. Profile Security is a central data source for comprehensive fund prospectus and operational rules.

A matrix level is the level of control on a sub-account provided to a Firm or Fund using Networking. The matrix level chosen by a Firm determines the activity allowed between a shareholder and a Fund. Each matrix level: 

  • Provides Firms with the flexibility to select options consistent with their business philosophy
  • Identifies the:
    • Reporting responsibilities of the Firm and Fund with regard to each sub-account
    • Processing capabilities the Fund and Firm have in supporting the exchange of information for those sub-accounts

  pdf Matrix Level Guide (1.31 MB)

 

The purpose of this Web guide is to provide NSCC members, which includes but is not limited to, mutual funds, insurance companies, brokerage firms, dealers and trading partners participating in the mutual fund services, with the information necessary to utilize the features and functionality of the Mutual Fund Profile Service (MFPS) II system.

 

sac guide coverAs an Insurance & Retirement Service Super Access Coordinator (SAC) for your firm, you are being granted access to the US DTCC Portal via a Web login ID. The guide and simulations in this section have been provided to assist you in completing your registration and in provisioning users with operator access to the various insurance products offered by I&RS.

Use the expandable menu below to learn about the SAC registration process and user provisioning.

 

 

dtcc sol onboarding interactive guideWelcome to the DTCC Solutions LLC Insurance Onboarding section of the Insurance & Retirement Services (I&RS) Learning Center. We will guide you through the onboarding process for DTCC Solutions membership. The process is explained in the DTCC Solutions Onboarding Interactive Guide.  

If you are familiar with the preliminary onboarding content, but have not spoken with a Relationship Manager/Account Manager, DTCC recommends that you do so. A Relationship Manager/Account Manager can confirm that you have the necessary information and help you throughout the onboarding process.

This section of the learning center provides you with detailed information on how to submit trade information to the Global Trade Repository for each asset class. Here you will find information on unique identifiers, message types, event reporting, positional data and message validation procedures.

This section of the learning center provides you with detailed interactive report guides for each individual GTR report, organized by asset class.

Note: Reports are removed after seven (7) days. GTR strongly recommends that clients save their batch download reports, and the daily reports to a secure local drive. After the reports are purged from the web portal, it is not possible to make them available again.

Report Publication Times:

Participant reports are published as soon as they are available on a T+1 basis. Exact publication times vary according to daily volumes. Each data center (US, Europe, Singapore) publishes Production and UAT reports in their respective local timezones.

  • DDR: US, Canada and HK publish Monday to Saturday (EST and EDT)
  • DDRJ: Japan publishes Monday to Saturday (EST and EDT)
  • DDRL: EU publishes Monday to Saturday (UTC)
  • DDRS: Singapore and Australia publish Monday to Friday (SST)

 

 
 
 

This section of the learning center provides you with detailed information on preparing your firm to do business with the Global Trade Repository in the North American region. This includes:

  • Onboarding tutorials for both asset and non-asset managers
  • End-user access coordination guides and instructional videos
  • Detailed information on connectivity options for trade submission

In addition, the GTR Quick Start Guide (Client Onboarding & Reporting Roadmap) is a step by step guide on how to use the Global Trade Repository.

Through the DTCC Global Trade Repository (GTR), any customers with EMIR (European Markets Infrastructure Regulation) reporting requirements can achieve efficient and cost-effective compliance with currently evolving regulations. This section of the Learning Center contains documentation and tutorials detailing the jurisdiction-specific and step-by-step requirements for gaining membership (onboarding) to GTR. 

The detailed information on preparing your firm to do business with the Global Trade Repository includes:

  • Onboarding tutorials for both asset and non-asset managers
  • End-user access coordination guides and instructional videos
  • Detailed information on connectivity options for trade submission

In addition, the GTR Quick Start Guide (Client Onboarding & Reporting Roadmap) is a step by step guide on how to use the Global Trade Repository.

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This section of the learning center provides you with detailed information on preparing your firm to do business with the Global Trade Repository. This includes:

  • Onboarding tutorials for both asset and non-asset managers
  • End-user access coordination guides and instructional videos
  • Detailed information on connectivity options for trade submission

In addition, the GTR Quick Start Guide (Client Onboarding & Reporting Roadmap) is a step by step guide on how to use the Global Trade Repository.

This section of the learning center provides you with detailed information on preparing your firm to do business with the Global Trade Repository. This includes:

  • Onboarding tutorials for both asset and non-asset managers
  • End-user access coordination guides and instructional videos
  • Detailed information on connectivity options for trade submission

In addition, the GTR Quick Start Guide (Client Onboarding & Reporting Roadmap) is a step by step guide on how to use the Global Trade Repository.

This section of the learning center provides you with detailed information on preparing your firm to do business with the Global Trade Repository. This includes:

  • Onboarding tutorials for both asset and non-asset managers
  • End-user access coordination guides and instructional videos
  • Detailed information on connectivity options for trade submission

In addition, the GTR Quick Start Guide (Client Onboarding & Reporting Roadmap) is a step by step guide on how to use the Global Trade Repository.

Welcome to the GTR Connectivity learning page.

The GTR Connectivity team handles new set-up requests for the automation of reports, covering a range of connection options and protocols.

On this page you will find information about your available Connectivity Options when you get started with DTCC’s products as well as links to further connectivity guidance if you’re an existing user .

The page is divided into different sections:

  1. Content for new clients: find sFTP guides and troubleshooting guides to assist your technical teams. If you are a new SFTR client, there’s a dedicated section for you, too. Find out who to contact for guidance on connecting by dedicated network and link to find further guides if you are an existing sFTP client.
  2. Content for existing clients: find out who to contact for guidance on connecting by dedicated network and link to find further guides if you are an existing sFTP client.

 

Who needs this Information?

This information applies to clients and decision makers who will be involved in implementing EMIR or SFTR

What are the next steps?

If you haven’t already, please review the interactive pdf in the GTR Connectivity Options section and learn about the features and limitations of the connectivity options available to you when connecting to GTR. 

If you are further along the decision making process, access the connectivity forms and documentation you require in the appropriate sections below. 

Related Links

Once you are connected, find out more on how to get started with GTR here.

Super Access Coordinators

A Super Access Coordinator is the contact within your firm who will be responsible for managing who has access to the repository services. Super Access Coordinators are granted access to the US Portal for the purpose of provisioning users, within their firm with access to the GTR.

Access and print the PDF version of the FAQs for Real-Time Trade Matching (RTTM) Processing for CMU Trades. Login to view all of the frequently asked questions.

This section is intended to provide GSD clients with quick access to information considered timely, important and/or recently posted to the Learning Center. Currently you may choose from the following topics:

  • FICC Loss Allocation Overview (eLearning)
  • GSD Enhancements - 2018 (videos)
  • Requests for Trade Input Extensions (guidelines and contact information)

You must log in to view all available content - content which requires a log in to view will not be visible unless you are logged in.

Login then Scroll Down to Learn More

 

What Members Need To Know Topics (3)

 Within this area of the learning center, you will find simulations that provide a  visual representation of the DVP RTTM® system application. The simulations  provide a  walkthrough on how to access a screen or how to do a task. These  simulations often  require a PC browser that can view Adobe Flash content. Please login to view the simulations.

 Please select the topic/task you would like to learn about from the menu below.

This section provides a central location for all the FAQs and their answers related to the DVP Service provided of GSD.

Please select the FAQ topic your are interested in learning more about from the dropdown menu located to the left of this article or use the search function provided at the top of the page.

FOR NETTING MEMBERS WHO SUBMIT DVP TRADES

FOR NETTING MEMBERS WHO SUBMIT DVP TRADES

Answers frequently asked questions about floating rate notes for GSD Members and provides examples of FRN processing logic and sample calendars.

Within this area of the learning center, you will find simulations that provide a visual representation of the GCF RTTM® system application. The simulations   provide a walkthrough on how to access a screen or how to do a task. These simulations often  require a PC browser that can view Adobe Flash content.

Please select the topic/task you would like to learn about from the menu below. 

FOR NETTING MEMBERS WHO SUBMIT GCF REPO® TRADES

FOR NETTING MEMBERS WHO SUBMIT GCF REPO® TRADES

FOR NETTING MEMBERS WHO SUBMIT GCF REPO® TRADES

The Sponsored Service offers eligible clients the ability to lend cash or eligible collateral via FICC-cleared DVP repo throughout the day, a transformation of the repo marketplace. Eligible transactions include two-directional (i.e., cash borrowing and cash lending) overnight and term DVP repo in U.S. Treasury and Agency securities and outright purchases and sales of such securities.

The Sponsored Service offers eligible clients the ability to lend cash or eligible collateral via FICC-cleared DVP repo throughout the day, a transformation of the repo marketplace. Eligible transactions include two-directional (i.e., cash borrowing and cash lending) overnight and term DVP repo in U.S. Treasury and Agency securities and outright purchases and sales of such securities.

This section is intended to provide MBSD clients with quick access to information considered timely, important and/or recently posted to the Learning Center. Currently you may choose from the following topics:

  • FICC Loss Allocation Overview (eLearning)
  • Requests for Trade Input Extensions (guidelines and contact information)

You must log in to view all available content - content which requires a log in to view will not be visible unless you are logged in.

Login then Scroll Down to Learn More

 

What Members Need To Know Topics (2)

The Pool Netting Topics category includes the following articles:

  • About Pool Netting
  • Important Terms
  • MBSD RTTM System for Pool Netting
  • Perform Pool Instruct Activities
  • Pool Instruct Entry
  • Pool Instruct Query
  • Pool Instruct Affirm, Modify, Cancel, and DK
  • Perform CDR Activities
  • Enter, Query, and Release CDRs
  • Perform TBA-Submitted Query Activities
  • Process a TBA-Submitted Query
  • Review the Advisories Split-View Screen
  • Review the Exception Recap Screen
  • Review the Rejects Screen

To help you better understand the MBSD reports produced in MBSD RTTM® Report Center, several report guides were created to explain the purpose of each report, the formats in which it is available, the report headers and its data elements. For each of the menus in MBSD Report Center (i.e. MBS Clearing, MBS RTTM, and MBS PoolNet), there is an associated guide. Also available is the MBSD Operational Novation Reports Guide which explains the reports most relevant to MBSD Novation.