ALERT BROKER/DEALER DIRECT CONFORMANCE GUIDE VERSION 4.1 MAY 11, 2018

Transcription

1 ALERT BROKER/DEALER DIRECT CONFORMANCE GUIDE VERSION 4.1 MAY 11, 2018

2 Copyright 2018 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: AL443 Service: ALERT Title: Broker/Dealer Direct Conformance Guide

3 TABLE OF CONTENTS Preface 6 Audience 6 Related Documents and Training 6 Questions? 6 1. About Conformance Testing 7 Overview 7 Who Is Doing the Testing? 7 Before You Start Conformance Testing 7 Conformance Test Data 8 2. Business Function Tests 9 Retrieve Alerts 9 Test 1 Retrieve Account Alerts for All Investment Managers 9 Test 2 Retrieve Account Alerts for Cross-Referenced Investment Managers 9 Test 3 Retrieve Account Alerts by Investment Manager 9 Test 4 Retrieve Delivery Alerts 10 Implement Changes d 10 Test 5 ACCESS PROVIDED: Change in Access Provided 10 Test 6 CHG CONTACT ACCT: Change in Contact Information 11 Test 7 CHG CONTACT DTC: Change in Contact Information in DTC Method 11 Test 8 CHG INST BIC: Change in BIC Number 11 Test 9 CHG INT ACCT NUM: Change in Account Number 11 Test 10 CHG:GEN: Single Change in the General Account Information 11 Test 11 CHG: <method>: Change in Method 12 Test 12 CHG: CONFIRM: Change in Confirmation Address 12 Test 13 DELIVERY CHANGED: Change in Bank and Agent - Delivery Information Retained 12 Test 14 MAJOR REVISION: Multiple Changes in General Account Information 13 Test 15 NEW ACCOUNT: New Account 13 Test 16 NEW:CNTRY/SEC: New Security and Country Pair 13

4 Test 17 NEW:<method>: New Clearing Method 13 Test 18 TAX ID: Change in Tax ID 13 Test 19 TITLE: Change in Account Description 14 Test 20 NEW: CONFIRM 14 Test 21 DEL: CONFIRM 14 Test 22 DEL: <method> 14 Test 23 DEL:CNTRY/SEC 14 Test 24 DELETED ACCOUNT 14 Test 25 DELIVERY DELETED 14 Discard Alerts 15 Test 26 Discard Account Alerts 15 Test 27 Discard Account Alerts for Non-Cross Referenced Accounts 15 Test 28 Discard All Account Alerts by Investment Manager 15 Test 29 Discard Account Alerts by Investment Manager and Security 15 Test 30 Discard Account Alerts by Investment Manager and Cross Reference 16 Test 31 Discard Delivery Alerts 16 Retrieve and Update Cross References 16 Test 32 Retrieve Cross References by Account 16 Test 33 Retrieve Cross References by BIA 16 Test 34 Retrieve Cross References by Investment Manager 16 Test 35 Add Cross References 16 Test 36 Delete Cross References 17 Request ALERT Data 17 Test 37 Request All General Account Information - Acronym and Access Code 17 Test 38 Request All General Account Information BIA 18 Test 39 Request Method Data 18 Test 40 Request General Account Info and All Delivery Details 18 Test 41 Request Account Security List 18 Test 42 Request Account Confirmations by Acronym and Access Code 19

5 Test 43 Request Delivery by Account 19 Test 44 Request List of Deliveries for an Acronym 19 Test 45 Request Method by Delivery 19 Test 46 Request Subscriber List for Specified User s 19 Test 47 Request ALERT Time or Test the Application 20 Retrieve and Update ALERT Suppression List 20 Test 48 Retrieve Account Alert Suppression List 20 Test 49 Update Account Alert Suppression List Add Entry 20 Test 50 Update Account Alert Suppression List Delete Entry 20 Create and Update Methods 20 Test 51 Create Method 20 Test 52 Update Method 20 Test 53 Delete Method 21 Change Password 21 Test 54 Change Password Operational Tests 22 Successful Response 22 Test 55 Request Delivery by Account 22 Successful Response with Continuation 24 Test 56 Request Delivery by Account Description 24 Error Response 26 Test 57 Request Delivery by Account 26 Parser Error 29 Test 58 Request Delivery by Account 29 Communication Error 31 Test 59 Request Delivery by Account 31 Multi-Acronym 32 Test 60 Get Host Counts 32

6 PREFACE The Conformance Guide for the ALERT platform for a direct interface provides a set of tests to validate your application's compatibility with the ALERT production environment. The certification process consists of completing a series of business function, operational, and communication tests, which serve as the criteria by which DTCC confirms that your application is ready for production. You must successfully complete the certification process before DTCC implements the ALERT direct interface in the production environment. Audience This guide is written for employees of a broker/dealer, such as project managers or their designees, who will be testing the adapter between their Order Management System (OMS) or Portfolio Management System (PMS) system, and the ALERT host. Related Documents and Training ALERT platform: For related documents and videos, and all documents referenced in this document, go to the Institutional Trade Processing - ALERT Learning Center. Margin Transit Utility (MTU): For related documents and videos, and all documents referenced in this document, go to the DTCC-Euroclear Global Collateral Ltd. Learning Center. Questions? The DTCC Client Center provides general assistance and technical help. Visit to: Enter a service request or check Search the knowledge base Obtain contact information Preface 6

7 1. ABOUT CONFORMANCE TESTING This chapter provides an overview of conformance testing for an ALERT direct interface. Overview Conformance testing ensures that your system will interact successfully withthe ALERT host through a direct interface. To protect the DTCC community of users, all broker/dealers must pass this conformance test before they are permitted to go into production. Notes The conformance tests described in this guide do not examine whether or not your system meets the business requirements specific to your organization. Use your own in-house testing for that purpose. You do not have to perform all the tests provided in this guide, just those relevant to your system s requirements. If possible during internal testing, send trades to external counterparties who have a suitable test environment available. DTCC Integration can help you make arrangements to do this. Who Is Doing the Testing? Both DTCC and you are active in the testing. DTCC Integration takes the part of the investment manager and generates alerts to satisfy the necessary ALERT platform's web interface change types. You retrieve and process these alerts as required. DTCC Integration will appoint a project manager to manage your conformance test. Throughout the test, the project manager acts as the main contact for testing issues, provides guidance, helps to analyze the test results, and signs off on successful tests. The project manager retains ownership of this document, and ensures that all necessary information is captured. The sections that follow outline the tests that you need to perform with the aid of the DTCC Integration project manager. When applicable, the project manager produces specific scenarios that are needed for you to successfully complete a particular test, documents each test step-by-step, and records success or failure. If your application fails to successfully complete a test, you must correct the point of failure and retest. Once the tests are completed successfully, the DTCC Integration project manager will configure your application to interact with the ALERT production environment. Before You Start Conformance Testing You must complete your own end-to-end user acceptance and conformance tests before you schedule conformance testing with DTCC Integration. The user acceptance tests, designed by your organization, should prove that the system meets your organization s business requirements. Before you begin conformance testing, you and your DTCC Integration project manager must ensure that the following testing prerequisites are met: Your system and your server meet all hardware and software requirements (see ALERT System Requirements). You have thoroughly tested any local processing that your application performs. You have been assigned an acronym and a password. About Conformance Testing 7

8 DTCC provides sets of investment manager test acronyms, accounts, and settlement models. You and your DTCC Integration project manager have determined which tests, if any, you do not need to complete. You have scheduled and confirmed a test time frame. If your application fails any of the applicable conformance tests, you must book another test slot to run them again in their entirety. DTCC also recommends that you use this document as part of your testing process. Conformance Test Data Your DTCC Integration project manager will create a set of test data for your ALERT platform's web interface to use during conformance testing. This data will reside in the test database at the DTCC testing facility. Since your application is for a broker/dealer, the test data that your application will use is investment manager data specifically, a set of investment manager test acronyms, accounts, and settlement models. About Conformance Testing 8

9 2. BUSINESS FUNCTION TESTS Business function tests validate the ability of your application to send and receive all messages and fields for all possible ALERT platform functions through the direct interface access method. Complete only those tests that correspond to your business needs. Each test corresponds to a business function and includes a description and an action table that describes the messages you need to exchange with the host to validate that functionality. For each test, you must validate the messages received from the host to ensure that you have received the appropriate information. Retrieve Alerts The following tests validate your application s ability to retrieve alerts: Test 1 Retrieve Account Alerts for All Investment Managers below Test 2 Retrieve Account Alerts for Cross-Referenced Investment Managers below Test 3 Retrieve Account Alerts by Investment Manager below Test 4 Retrieve Delivery Alerts on the next page Test 1 Retrieve Account Alerts for All Investment Managers Retrieve a list of account alerts for all investment managers, followed by a detailed list of account alerts for a specified investment manager. 2F, Get Account Alert Sum 32, Get Account Alerts by Institution Verify that the proper list of investment manager acronyms and the number of alerts outstanding are returned. Verify that the acronym, access code, description, country, security, priority, type of change, ALERT ID and BIA #(s) are returned for each alert for the specified investment manager. Test 2 Retrieve Account Alerts for Cross-Referenced Investment Managers Retrieve a list of account alerts from each investment manager that the requester has cross referenced, followed by all account alerts from a specified investment manager. 31, Get Account Alert Summary 33, Get Account Alerts by Institution Verify that the proper list of cross- referenced investment manager acronyms and the number of alerts outstanding are returned For each alert that the investment manager issued on its accounts that were cross referenced by the broker/dealer, verify that the following are returned: acronym, access code, description, country, security, priority, type of change, ALERT ID and BIA #(s). Test 3 Retrieve Account Alerts by Investment Manager Get a summary of account alerts outstanding from a specified investment manager, followed by all the account alerts from the specified investment manager. Business Function Tests 9

10 30, Get Account Alert Summary by Institution 32, Get Account Alerts by Institution Verify that the proper list of investment manager acronyms and the number of alerts outstanding are returned. Verify that the acronym, access code, description, country, security, priority, type of change, ALERT ID and BIA #(s) are returned for each alert that the investment manager issued on its accounts. Test 4 Retrieve Delivery Alerts Get a count of delivery alerts by acronym, followed by all outstanding delivery alerts that have been sent to the requester. A8, Get Delivery Alert Summary 2B, Get Delivery Alerts Verify that the proper list of investment manager acronyms and the number of alerts outstanding has been returned. Verify that the correct number of delivery alerts have been returned. Implement Changes d The following tests validate your application s ability to receive information about the alerts retrieved in the Retrieve Alerts section. Go to the test that corresponds to the type of change that you retrieved: Test 5 ACCESS PROVIDED: Change in Access Provided below Test 6 CHG CONTACT ACCT: Change in Contact Information on the next page Test 7 CHG CONTACT DTC: Change in Contact Information in DTC Method on the next page Test 8 CHG INST BIC: Change in BIC Number on the next page Test 9 CHG INT ACCT NUM: Change in Account Number on the next page Test 10 CHG:GEN: Single Change in the General Account Information on the next page Test 11 CHG: <method>: Change in Method on page 12 Test 12 CHG: CONFIRM: Change in Confirmation Address on page 12 Test 13 DELIVERY CHANGED: Change in Bank and Agent - Delivery Information Retained on page 12 Test 14 MAJOR REVISION: Multiple Changes in General Account Information on page 13 Test 15 NEW ACCOUNT: New Account on page 13 Test 16 NEW:CNTRY/SEC: New Security and Country Pair on page 13 Test 17 NEW:<method>: New Clearing Method on page 13 Test 18 TAX ID: Change in Tax ID on page 13 Test 19 TITLE: Change in Account Description on page 14 Test 20 NEW: CONFIRM on page 14 Test 21 DEL: CONFIRM on page 14 Test 22 DEL: <method> on page 14 Test 25 DELIVERY DELETED on page 14 Test 24 DELETED ACCOUNT on page 14 Test 25 DELIVERY DELETED on page 14 Test 5 ACCESS PROVIDED: Change in Access Provided Get all account data based on the specified acronym and access code. Business Function Tests 10

11 3B, Get General Account Info by Acronym and Access Code A1, Get Confirms by Acronym and Access Code 97, Get Delivery by Account 48, Get Method by Account Mapped Verify that all general account information is properly returned. Verify that the new confirmation address information has been received. Verify that all country, security, and method combinations that exist for the account have been returned. Verify that the new access provided is received. Test 6 CHG CONTACT ACCT: Change in Contact Information Get updated general account information. 3B, Get General Account Info by Acronym and Access Code Verify that new contact information has been received. Test 7 CHG CONTACT DTC: Change in Contact Information in DTC Method Get an updated clearing method based on the specified acronym and access code. 48, Get Method by Account Mapped Verify that the new contact information in the DTC method has been received. Test 8 CHG INST BIC: Change in BIC Number Get updated general account information. 3B, Get General Account Info by Acronym and Access Code Verify that the updated BIC number has been received. Test 9 CHG INT ACCT NUM: Change in Account Number Get the delivery for an account, followed by a clearing method based on the specified acronym and access code. 97, Get Delivery by Account 48, Get Method by Account Mapped Verify that all the country, security, and method combinations that exist for the account have been returned. Verify that the updated account number has been received. Test 10 CHG:GEN: Single Change in the General Account Information Get updated general account information. Business Function Tests 11

12 3B, Get General Account Info by Acronym and Access Code Verify that the change to the general account information has been received. Test 11 CHG: <method>: Change in Method Get a clearing method based on the specified acronym and access code. 48, Get Method by Account Mapped Verify that the change in the method has been received. Test 12 CHG: CONFIRM: Change in Confirmation Address Get updated confirm data. A1, Get Confirms by Acronym and Access Code Verify that the new confirmation address information has been received. Test 13 DELIVERY CHANGED: Change in Bank and Agent - Delivery Information Retained Get the delivery for an account, followed by a clearing method based on the specified acronym and access code. 97, Get Delivery by Account 48, Get Method by Account Mapped Verify that all the country, security, and method combinations that exist for the account have been returned. Verify that the change in bank and agent has been received. Business Function Tests 12

13 Test 14 MAJOR REVISION: Multiple Changes in General Account Information Get updated general account information. 3B, Get General Account Info by Acronym and Access Code Verify that the multiple changes in account information have been received. Test 15 NEW ACCOUNT: New Account Get all account data based on the specified acronym and access code. 3B, Get General Account Info by Acronym and Access Code A1, Get Confirms by Acronym and Access Code Verify that the new account has been received. Verify that the new confirmation address information has been received. 97, Get Delivery by Account Verify that all the country, security, and method combinations that exist for the account have been returned. 48, Get Method by Account Mapped Verify that the method information has been received. Test 16 NEW:CNTRY/SEC: New Security and Country Pair Get the delivery for an account, followed by a clearing method based on the specified acronym and access code. 97, Get Delivery by Account 48, Get Method by Account Mapped Verify that all the country, security, and method combinations that exist for the account have been returned. Verify that the new security and country pair has been received. Test 17 NEW:<method>: New Clearing Method Get a clearing method based on the specified acronym and access code. 48, Get Method by Account Mapped Verify that the new clearing method information has been received Test 18 TAX ID: Change in Tax ID Get updated general account information. 3B, Get General Account Info by Acronym and Access Code Verify that the change in tax ID has been received. Business Function Tests 13

14 Test 19 TITLE: Change in Account Description Get updated general account information. 3B, Get General Account Info by Acronym and Access Code Test 20 NEW: CONFIRM Get new confirm data. Verify that the change in account description has been received. A1, Get Confirms by Acronym and Access Code Verify that the new confirmation address information has been received. Test 21 DEL: CONFIRM No response is required in this test of an alert from an investment manager who deleted one or more of the confirmation addresses from the account. Your system should be able to handle the change type internally. The confirmation IDs (conf_id) for the deleted confirms are returned in the message. No further data is needed. DEL: CONFIRM Alert None needed Your system has received the alert from an investment manager. Test 22 DEL: <method> No response is required in this test of an alert from an investment manager who deleted the given method from the account. Your system should be able to handle the change type internally. No further data is needed. DEL: <method> Alert None needed Your system has received the alert from an investment manager. Test 23 DEL:CNTRY/SEC No response is required in this test of an alert from an investment manager who removed settlement instructions for a given country and security. Your system should be able to handle the change type internally. All clearing methods for the deleted market are removed from the account. No further data is needed. DEL:CNTRY/SEC Alert None needed Your system has received the alert from an investment manager. Test 24 DELETED ACCOUNT No response is required in this test of an alert from an investment manager who deleted an account. Your system should be able to handle the change type internally. No further data is needed. DELETED ACCOUNT Alert None needed Test 25 DELIVERY DELETED Your system has received the alert from an investment manager. Business Function Tests 14

15 No response is required in this test of an alert from an investment manager who removed all delivery instructions on the account. Your system should be able to handle the change type internally. No instructions remain on the account, from either a settlement model or from any account-specific instructions. No further data is needed. DELIVERY DELETED Alert Discard Alerts None needed The following tests validate your application s ability to discard alerts: Your system has received the alert from an investment manager. Test 26 Discard Account Alerts below Test 27 Discard Account Alerts for Non-Cross Referenced Accounts below Test 28 Discard All Account Alerts by Investment Manager below Test 29 Discard Account Alerts by Investment Manager and Security below Test 30 Discard Account Alerts by Investment Manager and Cross Reference on the next page Test 31 Discard Delivery Alerts on the next page Test 26 Discard Account Alerts Discard the specified account alerts. 36, Discard Account Alerts Verify that the specified account alerts have been properly discarded. Test 27 Discard Account Alerts for Non-Cross Referenced Accounts Discard all account alerts that do not correspond to cross-referenced accounts. 67, Discard Account Alerts Non- Xref Verify that the account alerts have been properly discarded. Test 28 Discard All Account Alerts by Investment Manager Discard the specified account alerts sent by the specified investment manager to the requester. 68, Discard Account Alerts by Institution All Verify that the specified account alerts have been properly discarded. Test 29 Discard Account Alerts by Investment Manager and Security Discard the account alerts sent by the specified investment manager to the requester for methods pertaining to the specified security type. 8B, Discard Account Alerts by Institution Security Verify that the specified account alerts have been properly discarded. Business Function Tests 15

16 Test 30 Discard Account Alerts by Investment Manager and Cross Reference Discard all account alerts sent by the specified investment manager to the requester that correspond to crossreferenced accounts. 89, Discard Account Alerts by Institution Verify that the specified account alerts have been properly discarded. Test 31 Discard Delivery Alerts Discard the specified delivery alerts. 34, Discard Delivery Alerts Verify that the specified delivery alerts have been properly discarded. Retrieve and Update Cross References The following tests validate your application s ability to retrieve and update cross references: Test 32 Retrieve Cross References by Account below Test 33 Retrieve Cross References by BIA below Test 34 Retrieve Cross References by Investment Manager below Test 35 Add Cross References below Test 36 Delete Cross References on the next page Test 32 Retrieve Cross References by Account Get all cross references for the specified account. 5A, Get Cross References by Account Verify that all the cross reference numbers assigned to the specified requester have been returned. Test 33 Retrieve Cross References by BIA Get all cross references for the account specified by the broker/dealer internal account number. 5B, Get Cross References by BIA Verify that all the cross reference numbers assigned to the specified requester have been returned. Test 34 Retrieve Cross References by Investment Manager Get all cross references for the specified investment manager, according to the filters specified. 5C, Get Cross References by Institution Verify that all the cross reference numbers for the specified investment manager have been returned. Test 35 Add Cross References Add cross references for the specified account. Business Function Tests 16

17 5C, Get Cross References by Institution Verify that the appropriate cross references have been added. Test 36 Delete Cross References Delete cross references for the specified account. 5D, Update Cross References Verify that the appropriate cross references have been Request ALERT Data deleted. The following tests validate your application s ability to request different types of The ALERT platform data: Test 37 Request All General Account Information - Acronym and Access Code below Test 38 Request All General Account Information BIA on the next page Test 39 Request Method Data on the next page Test 40 Request General Account Info and All Delivery Details on the next page Test 41 Request Account Security List on the next page Test 42 Request Account Confirmations by Acronym and Access Code on page 19 Test 43 Request Delivery by Account on page 19 Test 44 Request List of Deliveries for an Acronym on page 19 Test 45 Request Method by Delivery on page 19 Test 46 Request Subscriber List for Specified User s on page 19 Test 47 Request ALERT Time or Test the Application on page 20 Test 37 Request All General Account Information - Acronym and Access Code Get general account information using an acronym and an access code. 3B, Get General Account Info by Acronym and Access Code Verify that all general account information has been properly returned. Business Function Tests 17

18 Test 38 Request All General Account Information BIA Get general account information using a BIA. 3C, Get General Account Info by BIA Verify that all general account information has been properly returned. Test 39 Request Method Data Get a clearing method based on the specified acronym and access code. 48, Get Method by Account Mapped Verify that all clearing method data has been received. Test 40 Request General Account Info and All Delivery Details Get general account information, followed by the delivery, and a clearing method based on the specified acronym and access code. 3B, Get General Account Info by Acronym and Access Code 97, Get Delivery by Account 48, Get Method by Account Mapped Verify that all general account information has been received. Verify that all the country, security, and method combinations that exist for the account have been returned. Verify that all clearing method information has been received. Test 41 Request Account Security List Get the security types used by the account, based on the filters used. 64, Get Account Security List Verify that the correct security types have been returned. Business Function Tests 18

19 Test 42 Request Account Confirmations by Acronym and Access Code Get an account confirm based on the investment manager acronym and access code supplied. A1, Get Confirms by Acronym and Access Code Verify that the correct confirm has been returned. Test 43 Request Delivery by Account Get the delivery list for a specified settlement model. 41, Get Delivery Verify that the correct settlement instructions have been returned. Test 44 Request List of Deliveries for an Acronym Get the settlement models by acronym. 39, Get List of Deliveries for an Acronym Verify that the correct settlement model names have been returned. Test 45 Request Method by Delivery Get a clearing method based on a specified delivery. 47, Get Method by Delivery Verify that the correct settlement instruction has been returned. Test 46 Request Subscriber List for Specified User s Get the list of subscribers for the specified user types. 80, Get Subscriber List Acronym Response Verify that the correct list of subscribers has been returned. Business Function Tests 19

20 Test 47 Request ALERT Time or Test the Application Get alerts, mail, and report count information from the host for the requester. 40, Get Host Counts Verify that the correct host information has been returned. Retrieve and Update ALERT Suppression List The following tests validate your application s ability to retrieve and update the Alert suppression list: Test 48 Retrieve Account Alert Suppression List below Test 49 Update Account Alert Suppression List Add Entry below Test 50 Update Account Alert Suppression List Delete Entry below Test 48 Retrieve Account Alert Suppression List Get the alert suppression list for a client, based on the filters provided. 9B, Get Suppress List Verify that the account alert suppression list for the requester has been returned Test 49 Update Account Alert Suppression List Add Entry Add an entry to the suppression list for a client. 50, Update Suppress List Verify that the suppression list entry has been added. Test 50 Update Account Alert Suppression List Delete Entry Delete an entry from the suppression list for a client. 50, Update Suppress List Verify that the suppression list entry has been deleted. Create and Update Methods The following tests validate your application s ability to create, update, and delete methods: Test 51 Create Method below Test 52 Update Method below Test 53 Delete Method on the next page Test 51 Create Method Create a new settlement method. 49, Create Method Verify that the new settlement method has been created. Test 52 Update Method Update a settlement method. Business Function Tests 20

21 4A, Update Method Verify that the new settlement method has been updated. Test 53 Delete Method Delete a settlement method. 4B, Delete Method Verify that the settlement method has been deleted. Change Password The following test validates your application s ability to change your password. Test 54 Change Password Change the ALERT platform login password. 9F, Change Password Verify that the login password has been changed. Business Function Tests 21

22 3. OPERATIONAL TESTS In addition to the business function tests, DTCC requires that you successfully complete a series of operational tests to ensure that your system can handle basic operational scenarios, such as an error response and parser error. Each operational test consists of a series of requests to and responses from the host, based on an appropriate message. For each request and response in the test, a form and a form is provided. In addition to allowing you to record test data, these forms provide you with important information about each test message. The critical information in the forms is documented in the Optional/Mandatory column. The information in this column tells you which fields must be populated with data to receive a successful response from the host. The critical information in the forms is documented in the Test Data column. In addition to fixed data (such as software version number), the information in this column tells you which data must be received from the host to complete the test successfully. For example, the Test Data column in the form of the Error Response Test tells you that you should receive the following information in the message from the host: An error number in the Error Number field with the following format: 200xx. The exact number depends on the message received. Error text in the Error Text field. The text itself varies according to the message received. The operational tests are as follows: Successful Response below Successful Response with Continuation on page 24 Error Response on page 26 Parser Error on page 29 Communication Error on page 31 Multi-Acronym on page 32 Note DTCC requires that you complete the Multi-Acronym test (on page 32 ) only if you plan on performing business functions on behalf of clients. Successful Response Test 55 Request Delivery by Account 1. The client sends request for delivery data. 2. The client receives success notification and delivery data. Operational Tests 22

23 Table 3.1 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Delivery Delivery_owner M Owner Delivery Delivery_name M Country Country Country used for method, or country referenced O 3 by the BIA. Security Security The security type used for the method, or the O 3 security type referenced by the BIA. Method Method The method of settlement for this country and security type. O Table 3.2 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 2 Version version Always 1. Data type is numeric. M 1 1 Error Error_number Numeric portion of the error. M 0 Number Error Error_message Text portion of the error. O Country Country Country used for method, or country referenced by the O 3 BIA. Security Security The security type used for the method, or the security type referenced by the BIA. O 3 Operational Tests 23

24 Table 3.2 (continued) Tag Definition Optional/ Method Method The method of settlement for this country and security type. Priority Priority The order in which the method was created for a given market or a value between 1 and 9. It must match the priority number that was returned when the method was created. OR The key for selecting between multiple method types on the same country and security pair. Data type is numeric Successful Response with Continuation Test 56 Request Delivery by Account Description 1. The client sends an initial request for delivery data. 2. The client receives delivery data with advisement of continuation. 3. The client sends a request for continuation data. 4. The client receives continuation data. #1 Mandatory (O/M) Tag Definition Optional/ Test Data O 12 O 1 Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Delivery Owner Delivery Delivery_owner M Delivery_name M Country Country Country used for method, or country referenced by the BIA. Security Security The security type used for the method, or the security type referenced by the BIA. Method Method The method of settlement for this country and security type. O 3 O 3 O Operational Tests 24

25 Table 3.3 Form #1 Tag Definition Optional/ Test Mandatory Data (O/M) Number Alphanumeric portion of message name. M 0x41 2 Version version Always 1. Data type is numeric. M 1 1 Error Error_number Numeric portion of the error. 0 indicates success; 3 M 3 Number indicates continuation. Error Error_message Text portion of the error. O Country Country Country used for method, or country referenced by the O 3 BIA. Security Security The security type used for the method, or the security O 3 type referenced by the BIA. Method Method The method of settlement for this country and security O 12 type. Priority Priority The order in which the method was created for a given market or a value between 1 and 9. It must match the priority number that was returned when the method was created. OR The key for selecting between multiple method types on the same country and security pair. Data type is numeric. O 1 Number Alphanumeric portion of message name. M 0x41 2 Version version Always 1. Data type is numeric. M 1 1 Delivery Delivery_owner M Owner Delivery Delivery_name M Country Country Country used for method, or country referenced by the O 3 BIA. Security Security The security type used for the method, or the security O 3 type referenced by the BIA. Method Method The method of settlement for this country and security O 12 type. Country Continued Country_cont A continuation of the Country list. M Operational Tests 25

26 Table 3.3 Form #1 (continued) Tag Definition Optional/ Test Mandatory Data (O/M) Security Security_cont A continuation of the Security list. M Continued Method Method_cont A continuation of the Method list. M Continued Table 3.4 Form #2 Tag Definition Optional/ Mandatory (O/M Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Error Number Error Error_number Numeric portion of the error. 0 indicates success; 3 indicates continuation. Error_message Text portion of the error. O Country Country Country used for method, or country referenced by the BIA. Security Security The security type used for the method, or the security type referenced by the BIA. Method Method The method of settlement for this country and security type. Priority Priority The order in which the method was created for a given market or a value between 1 and 9. It must match the priority number that was returned when the method was created. OR Error Response The key for selecting between multiple method types on the same country and security pair. Data type is numeric. 2 1 M 0 3 O 3 O 3 O 12 O 1 Test 57 Request Delivery by Account 1. The client sends a request for delivery data that includes invalid data (such as an invalid acronym). 2. The client receives error notification. Operational Tests 26

27 Table 3.5 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Delivery Delivery_owner M Owner Delivery Delivery_name M Country Country Country used for method, or country referenced O 3 by the BIA. Security Security The security type used for the method, or the O 3 security type referenced by the BIA. Method Method The method of settlement for this country and security type. O Table 3.6 Tag Definition Optional/ Test Mandatory Data (O/M) Number Alphanumeric portion of message name. M 0x41 2 Version version Always 1. Data type is numeric. M 1 1 Error Error_number Numeric portion of the error. M 200xx Number Error Error_message Text portion of the error. O Error text Country Country Country used for method, or country referenced by the O 3 BIA. Security Security The security type used for the method, or the security type referenced by the BIA. O 3 Operational Tests 27

28 Table 3.6 (continued) Tag Definition Optional/ Test Mandatory Data (O/M) Method Method The method of settlement for this country and security O 12 type. Priority Priority The order in which the method was created for a given market or a value between 1 and 9. It must match the priority number that was returned when the method was created. OR The key for selecting between multiple method types on the same country and security pair. Data type is numeric. O 1 Operational Tests 28

29 Parser Error Test 58 Request Delivery by Account 1. The client sends an incorrectly formatted request for delivery data. 2. The client receives notification of a parser error. Note Specific error information is returned in the Error field of the response message. Table 3.7 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Delivery Delivery_owner M Owner Delivery Delivery_name M Country Country Country used for method, or country referenced O 3 by the BIA. Security Security The security type used for the method, or the O 3 security type referenced by the BIA. Method Method The method of settlement for this country and security type. O Table 3.8 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 2 Version version Always 1. Data type is numeric. M 1 1 Error Error_number Numeric portion of the error. M -1 Number Error Error_message Text portion of the error. O Specific error information Operational Tests 29

30 Table 3.8 (continued) Tag Definition Optional/ Mandatory (O/M) Test Data Country Country Country used for method, or country referenced by O 3 the BIA. Security Security The security type used for the method, or the O 3 security type referenced by the BIA. Method Method The method of settlement for this country and O 12 security type. Priority Priority The order in which the method was created for a given market or a value between 1 and 9. It must match the priority number that was returned when the method was created. OR The key for selecting between multiple method types on the same country and security pair. Data type is numeric. O 1 Operational Tests 30

31 Communication Error Test 59 Request Delivery by Account 1. The client sends a request for delivery data that experiences a communications error. 2. The client receives an error code from their function call. Note Communications error responses are received on the programming level and do not involve an XML message response. An example of a communications error notification is the return of a 116 error code, signifying a hardware issue. Table 3.9 Communication Error Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x41 Version version Always 1. Data type is numeric. M 1 Delivery Delivery_owner M Owner Delivery Delivery_name M Country Country Country used for method, or country referenced O 3 by the BIA. Security Security The security type used for the method, or the O 3 security type referenced by the BIA. Method Method The method of settlement for this country and security type. O Operational Tests 31

32 Multi-Acronym This feature is a new and very important addition to The ALERT platform functionality. Note If you perform requests on behalf of clients, you need to complete this test. In addition, you must repeat this test for each business scenario performed on behalf of clients. If you have any questions regarding this functionality, contact your DTCC Client Test Coordinator. Test 60 Get Host Counts 1. The client sends request for host counts on behalf of client The client receives host counts. 3. The client sends request for host counts on behalf of client The client receives host counts. 5. The client sends request for host counts on behalf of client The client receives host counts. Table Tag Definition Optional/ Test Mandatory (O/M) Data Number Alphanumeric portion of message name. M 0x40 2 Version version Always 1. Data type is numeric. M 1 1 On Behalf OnBehalfOf Acronym of the client for whom the M Acronym 8 Of request is being made. 1 Table Tag Definition Optional/ Test Mandatory (O/M) Data Number Alphanumeric portion of message name. M 0x40 2 Version version Always 1. Data type is numeric. M 1 1 Error Number Error Error_number Numeric portion of the error. M Error_message Text portion of the error. O Alerts Alerts Number of account alerts. M Mail Mail Number of mail messages sent. M Reports Number of reports completed. M Operational Tests 32

33 Table (continued) Tag Definition Optional/ Mandatory (O/M) Delivery Delivery_alerts Number of delivery alerts sent. M Alerts Time GMT Time_GMT Current time of host system. M Time GMT Time_GMT_ Current offset from Greenwich Mean Time M Offset offset (GMT) of host system. Test Data 2 Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x40 2 Version version Always 1. Data type is numeric. M 1 1 On Behalf Of OnBehalfOf Acronym of the client for whom the request is being made. M Acronym 8 2 Table Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of M 0x40 message name. Version version Always 1. Data type is M 1 numeric. Error Error_number Numeric portion of the M Number error. Error Error_message Text portion of the error. O Alerts Alerts Number of account M alerts. Mail Mail Number of mail M messages sent. Reports Number of reports M completed. Delivery Alerts Delivery_alerts Number of delivery alerts sent. M Time GMT Time_GMT Current time of host M system. Time GMT Time_GMT_ Current offset from GMT M Offset offset of host system. 2 1 Operational Tests 33

34 Table Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message name. M 0x40 2 Version version Always 1. Data type is numeric. M 1 1 On Behalf Of OnBehalfOf Acronym of the client for whom the request is being made. M Acronym 8 3 Table Tag Definition Optional/ Mandatory (O/M) Test Data Number Alphanumeric portion of message M 0x40 2 name. Version version Always 1. Data type is numeric. M 1 1 Error Number Error_number Numeric portion of the error. M Error Error_message Text portion of the error. O Alerts Alerts Number of account alerts. M Mail Mail Number of mail messages sent. M Reports Number of reports completed. M Delivery Delivery_alerts Number of delivery alerts sent. M Alerts Time GMT Time_GMT Current time of host system. M Time GMT Offset Time_GMT_ offset Current offset from GMT of host system. M Operational Tests 34

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