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1 ALERT PRODUCT RELEASE INFORMATION VERSION 5.11 NOVEMBER 27, 2017 This document outlines the enhancements included in the ALERT platform 5.11 release.
2 TABLE OF CONTENTS What is New in Release 5.11? 3 New Legal Entity Identifier Functionality 3 ALERT Web Interface 3 Investment Managers 3 Broker/Dealers 4 ALERT Plus File Template Change 4 Regional Custodian 5 Defect Fixes 5 How to Take Advantage of This Release 5
3 WHAT IS NEW IN RELEASE 5.11? This document outlines the enhancements included in the ALERT platform 5.11 release, which is scheduled to go into the Client Test environment on November 9,2017, and into Production on November 18, New Legal Entity Identifier Functionality This release introduces LEI maintenance functionality to investment managers and broker/dealers. This functionality facilitates communication of Legal Entity Identifier (LEI) information using the ALERT platform, in compliance with MiFID II requirements taking effect on January 3, The previously supported Avox LEI feed has been discontinued, and clients can now manage their LEI information using the ALERT platform's web interface. In addition, the new Legal Entity Identifier fields are now visible to all counterparties. ALERT Web Interface Notes If an organization level LEI was previously populated on an account or model using the Avox LEI feed, this LEI will be populated in the new field as part of the release. For information on managing LEI information, view associated videos and jobs aids on the Learning Center at dtcclearning.com. Investment Managers The acronym-level LEI field is available on the Accounts -> General Account dialog. This new field is located in the Institution Data information section, and is labeled Buy Side Legal Entity Identifier. Figure 1 Buy Side Legal Entity Identifier 3
4 Note There is no change to the functionality for the Access Code Legal Entity Identifier field available in the Account Detail section. Broker/Dealers Te Sell Side Legal Entity Identifier field is now available on the Models -> Settlement Instructions dialog. This field is located at the bottom of the Search and Maintain Models dialog. Figure 2 Sell Side Legal Entity Identifier ALERT Plus File Template Change Following the version 5.11 release to the Production environment, investment managers who use the file upload functionality of the ALERT Plus module must download and utilize an updated version of the General Account Template. Use of this new template will prevent a validation error when attempting new uploads. The former Omgeo ID column in the General Account template has been changed to BuySideLEIdentifier. Validation has been put in place to ensure that the value uploaded is 20 characters. Attempting to use prior versions of the General Account Template results in the error in Figure 3. Figure 3 General Account Template Error Message 4
5 Regional Custodian This release offers a new regional custodian subscription, which includes the following functionality: Investment Managers can now designate accounts to a regional custodian. Regional custodians can take action on an assigned IM account and assign it to a GC Direct custodian. GC Direct custodians can manage Settlement Instructions (SIs) for an investment manager's account on behalf of a regional custodian. In a future release, regional custodians will be able to manage (create, edit and delete) their own SSIs (Standing Settlement Instructions) in addition to the SIs that a GC Direct custodian manages. Defect Fixes This release fixes the following defect: BZ-1339: ALERT Direct Brokers unable to retrieve SSIs activated during early Future Effective Rollover cycle. Direct brokers will now be able to retrieve these settlement instructions immediately after the rollover takes place How to Take Advantage of This Release No client activity is required to take advantage of the changes in this release. All enhancements/defect fixes are immediately available to clients after the release. 5
6 Copyright 2017 DTCC. All rights reserved. This work (including, without limitation, all text, images, logos, compilation and design) is proprietary and protected by copyright, and is for the exclusive use of users authorized by DTCC. If this work is received from DTCC in any electronic medium, authorized users of this work are granted a limited, non-exclusive, nontransferable, non-sublicensable and freely revocable license to make reproductions and transmissions necessary for downloading and storage of this work on the users' computers and to print one or more paper copies from the electronic version for their own use. Other than to this limited extent, no part of this work (including any paper copies thereof or print versions thereof) may be printed, copied, altered, modified, posted, reproduced, displayed, published, sold, licensed, used or distributed (including by transmission) in any form or by any means, or stored in any information storage and retrieval system, without DTCC's prior written permission. All product or service names are the property of their respective owners. The services described herein are provided under the DTCC brand name by certain affiliates of The Depository Trust & Clearing Corporation ( DTCC ). DTCC itself does not provide such services. Each of these affiliates is a separate legal entity, subject to the laws and regulations of the particular country or countries in which such entity operates. Please see for more information on DTCC, its affiliates and the services they offer. Publication Code: AL408 Service: ALERT Title: Product Release Information
7 FOR MORE INFORMATION DTCC Learning at: or visit us on the web at:
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