TRADESUITE ID CONFIRM ARCHIVE REFERENCE APRIL 30, 2018

Transcription

1 TRADESUITE ID CONFIRM ARCHIVE REFERENCE APRIL 30, 2018

2 Copyright 2018 The Depository Trust & Clearing Corporation ("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, non-transferable, nonsublicensable 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. DTCC is the brand name under which certain affiliates of The Depository Trust & Clearing Corporation provide services in particular geographic areas. The Depository Trust & Clearing Corporation does not provide services to clients. Each of The Depository Trust & Clearing Corporation s affiliates is a legally separate and independent entity, and each is subject to the laws and regulations of the particular country in which it operates. Please see for more information on the legal structure of The Depository Trust & Clearing Corporation and its related entities. All product or service names are the property of their respective owners. Publication Date: April 30, 2018 Publication Code: TS2108 Service: TradeSuite ID Title: Confirm Archive Reference

3 TABLE OF CONTENTS Preface 4 Audience 4 Changes in this Version of the Document 4 Related Documents and Training 4 Questions? 5 Accessing the Application 6 Access for Non-Participants 6 Access for Participants 7 Logging on to the Confirm Archive Service 8 Viewing Confirm Reports (Confirmations) 9 Retrieving Reports by the Report Version 11 Retrieving Reports by the Report Date 13 Downloading Reports 16 Resolving a Work Queue Report Name Error 17

4 PREFACE This document describes the TradeSuite ID Confirm Archive service. Audience This guide is for broker/dealers, agents (custodians), and institutions/investment managers who use the SMART/Search web site to review and download reports from the TradeSuite ID confirm archives. Changes in this Version of the Document This version includes re-branding changes Addition of a note that related to accessing reports at least once every 90 days to ensure that your TradeSuite ID confirm archive user name remains active. Revamped the appearance and layout of the documentation to ensure consistency across all DTCC applications. Related Documents and Training For other related content and all references in this document, see the TradeSuite ID 8.0 section of the Institutional Trade Processing - TradeSuite ID Learning Center. Preface 4

5 Questions? The DTCC Client Center provides general assistance and technical help. Visit to: Enter a service request or check the status of an existing request Search the knowledge base Obtain contact information Preface 5

6 ACCESSING THE APPLICATION Depository Trust Corporation (DTC) participants can access the TradeSuite ID Confirm Archive Report through the Participant Browser Service (PBS). Non-participants can access the service through the DTCC Home page available at The following topics provide the steps: Access for Non-Participants Access for Participants Access for Non-Participants To log on to the DTCC SMART/Search site: 1. Use Microsoft Internet Explorer version 10 or higher to access the DTCC home page available at 2. From the DTCC home page, click the Client Center tab at the bottom of the page. 3. From the Client Center page, locate the Post Sales section, as shown in Figure 1. Figure 1 Client Support Tools Section 4. In the Post Sales section, under Quick Links, click ITP Reports. 5. Continue with the steps in Logging on to the Confirm Archive Service on page 8. Preface 6

7 Access for Participants To log onto the DTCC SMART/Search site: 1. Log onto the DTCC Portal ( using Microsoft Internet Explorer version 10 or higher. For information about password formats, see Table 1 on page Under Available Production Products, select PBS - Participant Browser Services (Figure 2). Figure 2 DTCC Portal Login The Participant Browser Services (PBS) page, shown in Figure 3, opens. Figure 3 Participant Browser Services (PBS) Page Preface 7

8 3. At the PBS page, click Omgeo Reports. Note Broker/dealers and agents can access the TradeSuite ID Confirm Archive service from the DTCC Home page available at From the Client Center tab, select Customer Tools, locate Post Sales, then click ITP Reports. 4. Continue with the steps in Logging on to the Confirm Archive Service below. Logging on to the Confirm Archive Service To ensure continued system access, log onto the Confirm Archive service at least once every 120 days. Otherwise, your system access may be revoked. To log on to the Confirm Archive service: 1. When prompted, type your user name and password following the formats outlined in Table 1. Table 1 User Name and Password Formats for Institutions and Investment managers Field User Name Description Type your TradeSuite ID confirm archive user name, and then make the following changes: Replace the hyphen with a zero (0). Add or remove zeros at the beginning of the number, as necessary, to make it eight characters long. Use the M0###0## format for your user name. For example: Before: M Password After: M Type your password, taking note of the following parameters: Password must be eight characters long. Password must contain at least one uppercase letter or special character, one lowercase letter, and two numbers. Password can contain uppercase letters, lowercase letters, numbers, and the special characters: $, Password cannot contain one or more space characters. No letter, number, or character can occur more than two times. Password cannot be the same as your user name or match any part of your user name. Password cannot be the same as any of your previously used passwords. Password cannot be the same as your previously used passwords where only the letter case has changed. 2. The login page for non-participants and participants varies slightly. Depending on which login page you are using, click Log In or OK. The PBS SMART/Search page opens. Preface 8

9 VIEWING CONFIRM REPORTS (CONFIRMATIONS) Confirm reports are made up of TradeSuite ID confirmations that are processed each day. The process date, which is usually the trade date, is the main search criteria to view confirms. The TradeSuite ID service confirms are available for ten years. The reports are in two separate folders: Before January 1, 2012 From January 1, 2012 to Present Confirmations are available for ten years. Any confirmation more than ten years old is purged to make space available for new data. For example, if today s date is January 29, 2016 (Friday) all confirmations processed before January 29, 2006 (Sunday) are unavailable. Access the confirmation reports at least once every 90 days to ensure your TradeSuite ID Confirm Archive user name remains active. Otherwise, required security procedures will cause deletion of your ID, requiring DTCC to recreate your access to Confirm Archive. Confirm Archive users typically have access to one or two groups of reports, based on the roles in the TradeSuite ID service. For example, with a broker role, you have access to the broker archive reports. Table 2 shows the available confirmation reports by role. Table 2 Available Reports by Role Role Report Name Dates Broker access or entitlement Broker Online Confirmation September 27, 2005 December 31, 2011 January 1, 2012 Present Agent access or entitlement Agent Online Confirmations September 27, 2005 December 31, 2011 January 1, 2012 Present Institution access or entitlement Institution Online Confirmations September 27, 2005 December 31, 2011 January 1, 2012 Present Additional party access or entitlement Additional Party Confirmations January 1, 2012 Present Note An additional party search is only available for the most recent confirmation reports (from January 1, 2012). If submitted with the confirm, an additional party search can be an ID for any of the six possible fields on a confirmation: Agent Sub-Custodian ID, Broker Sub- Custodian ID, Customer ID, Interested Party ID 1, Interested Party ID 2, and Interested Party ID 3. Preface 9

10 To locate a TradeSuite ID confirm: At the PBS SMART/Search page, shown in Figure 4, click the category of report that you want to review. Note If you have access to both the CTM and TradeSuite ID Confirm Archive services, the PBS SMART/Search page provides links to the confirm archive report for both accounts. Figure 4 PBS SMART/Search Page 1. Figure 4 can contain additional links depending on the user setup. This sample page is representative of a user with institution and additional (interested) party IDs. If you require more or different SMART/Search access, the SMART/Search page has additional text with active links. Additional access can include the following reports with SMART/Search capabilities: Omgeo o o o CTM Archive TradeSuite Confirm Archive o Broker Online Confirmations ( to ) o Broker Online Confirmations ( to Present) o Agent Online Confirmations ( to ) o Agent Online Confirmations ( to Present) o Institution Online Confirmations ( to ) o Institution Online Confirmations ( to Present) o Additional Party Online Confirmations ( to Present) Omgeo Billing Reports After clicking the category of report, the Report Inquiry page specific to the report that you selected opens. Preface 10

11 2. Retrieve a report by either the report version, the default, or report date. In general, use the report date option to access confirm information. The following sections describe both methods: o o Retrieving Reports by the Report Version Retrieving Reports by the Report Date Note Before submitting a request to retrieving a confirm archive by either the report version or report date, specify details in the Additional Selection Criteria section. Retrieving Reports by the Report Version The report version refers to a time period when the Confirm Archive service produced the report. The Report Versions page lists reports by their process date. To access confirm information beyond recent dates, use Retrieve by Report Date. For more information, see Retrieving Reports by the Report Date on page 13. To retrieve a report by version: 1. At the Report Inquiry page, shown in Figure 5, the Retrieve by Report Version is selected by default. Figure 5 Report Inquiry - Retrieve by Report Version 2. In the Search Criteria section of the Report Inquiry page, you must click the magnifying glass next to the Report Version field. The Report Versions page, shown in Figure 6, opens. Figure 6 Report Versions Preface 11

12 3. In the Report Versions page, shown in Figure 6, each column displays a report that includes date and time you ran the report, version number, and archive indicator. Click a date/time link for the report that you want to view. In the Report Inquiry page, the Report Version field is populated with the date/time that you selected. Note Access reports available in the systems active memory by clicking the link in the Date/Time column. Access the archived reports, indicated by Restore in the Archive Indicator column, by retrieving the report by report date. For more information, see Retrieving Reports by the Report Date on the next page. 4. In the Additional Selection Criteria section of the Report Inquiry page, shown in Figure 5, click the magnifying glass to select one of the IDs based on your access and what is appropriate for the report. If a required field is empty, an error message displays. Follow these guidelines: For institution report inquiries, click the magnifying glass next to INSTITUTION. For additional parties report inquiries, click the magnifying glass next to ADDITIONAL PARTY. For broker report inquiries, click the magnifying glass next to BROKER/DEALER. For agent report inquiries, click the magnifying glass next to AGENT ID. 5. Optionally, use the remaining filters in the Additional Select Criteria section by typing a value or clicking the associated magnifying glass to limit the search results. 6. View the report by using one of the following methods: If the requested confirm or confirms are more than a few days old, submit your request for confirmation data. If search request data is available, click Search. Add the report to the work queue by typing a name for the work queue report in the Work Queue Report Name field, and then clicking Add to Work Queue. Preface 12

13 Retrieving Reports by the Report Date When retrieving a report by the report date, submit your request to the work queue. To retrieve a report by date: 1. At the Report Inquiry page, shown in Figure 7, select Retrieve by Report Date. Figure 7 Report Inquiry - Retrieve by Report Date 2. To select the date range, click the calendar next to the Date From and Date To fields. The date format for these fields is MM/DD/YYYY. Keep the date range within 90 days. In general, in the Date From field, enter the trade date, and in the Date to field, enter the settlement date. 3. In the Additional Selection Criteria section of the Report Inquiry page, shown in Figure 5, click the magnifying glass to select one of the IDs based on your access and what is appropriate for the report. If a required field is empty, an error message displays. Follow these guidelines: For institution report inquiries, click the magnifying glass next to INSTITUTION. For additional parties report inquiries, click the magnifying glass next to ADDITIONAL PARTY. For broker report inquiries, click the magnifying glass next to BROKER/DEALER. For agent report inquiries, click the magnifying glass next to AGENT ID. 4. Optionally, use the remaining filters in the Additional Select Criteria section by typing a value or clicking the associated magnifying glass to limit the search results. 5. In the Work Queue Report Name field, you must type a unique name to identify the work queue report. Ensure that the name helps easily identify the criteria and details in the report when viewing multiple work queue requests. This field is mandatory when retrieving a report by the report date. If this required field is empty, an error message appears. For more information, see Resolving a Work Queue Report Name Error on page 17. Preface 13

14 6. Click Add to Work Queue. A message displays, indicating that the selected report will be copied to your work queue, as shown in Figure 8. Figure 8 Work Queue Request Message 7. Click Close. 8. Access the report from the work queue using one of the following methods: From the Report Inquiry page, select Browse Work Queue from the Go To drop-down list, as shown in Figure 9. Figure 9 Browse Work Queue Return to the DTCC Report home page and click Browse Report Work Queue, as shown in Figure 10. Figure 10 Browse Report Work Queue Link Preface 14

15 9. At the Reports Processing Work Queue page, shown in Figure 11, click the link for the report that you added to the queue. If the report does not appear in the list, refresh the list by selecting Browse Work Queue from the Go To drop-down list. Reports are purged from the Reports Processing Work Queue list after 30 days. Figure 11 Reports Processing Work Queue The Confirmation Report, shown in Figure 12, opens. Preface 15

16 DOWNLOADING REPORTS Retrieve and download a report from the Select Delivery Method drop-down. You can download or print a maximum of 1500 pages per request. To avoid reaching the maximum download limit, use the filters to refine your search. Figure 12 Confirmation Report To download a report: 1. Open the report that you want to download. 2. From the Select Delivery Method drop-down, select Download Report (text). 3. Follow the system commands to download the file to your local hard drive. 4. Open the folder where you saved the report. 5. Double-click the report, and open the file with a text editor, such as Notepad, WordPad, or TextPad. Preface 16

17 RESOLVING A WORK QUEUE REPORT NAME ERROR From the Report Inquiry page, you must complete the Work Queue Report Name field when clicking the Add to Work Queue option or submitting a background request. You are required to enter a work queue report name when submitting a work queue request. If the required field is empty, an error message appears. To resolve a work queue report name error: 1. If the required Work Queue Report Name field in the Report Inquiry page is left blank, when you click Add to Work Queue, you receive an error message, as shown in Figure 13. Figure 13 Work queue name error message 2. From the Error Message page, click Close. 3. At the Report Inquiry page, shown in Figure 5, type a name for the work queue report in the Work Queue Report Name field. Ensure that the name you supply helps easily identify the criteria and details in the report when viewing multiple work queue requests. 4. Click Add to Work Queue or Submit. Note You can reuse work queue names. If you do reuse a work queue name, provide the timestamp to determine each request. 5. Continue with retrieving the report. For more information, see Viewing Confirm Reports (Confirmations) on page 9. Preface 17

18 FOR MORE INFORMATION DTCC Learning at: or visit us on the web at: