Settlement Web User Guide - DTCC

[Pages:230]SETTLEMENT

SETTLEMENT WEB USER GUIDE

AUGUST 07, 2018

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Doc Info: August 07, 2018 Publication Code: SET100 Service: Settlement Title: Settlement Web User Guide

TABLE OF CONTENTS

Settlement Web Overview ...................................................................................................................................7 Navigation Bar - How the Product Works ...........................................................................................................7 Using the Dashboard ..........................................................................................................................................8 Events ................................................................................................................................................................ 9 Alerts .................................................................................................................................................................9 The Information Center ...................................................................................................................................12 Using On Demand Reporting ..........................................................................................................................12 Viewing Your Saved Queries.........................................................................................................................13 Sharing Your Saved Queries .........................................................................................................................14 Editing Your Saved Queries ..........................................................................................................................15 Scheduling Reports/Queries..........................................................................................................................17 Downloading Scheduled Reports ..................................................................................................................18

Collateral Loans .................................................................................................................................................21 About the Collateral Loan Service ....................................................................................................................21 Pledgor .............................................................................................................................................................. 22 Inputting a Pledge ...........................................................................................................................................22 Requesting a Pledge Release.........................................................................................................................24 Performing a Pledgor Inquiry...........................................................................................................................28 OCC Release Request and Authorization.......................................................................................................30 Requesting a Release of Deposit from OCC.................................................................................................30 Authorizing a Release of Deposit Request (OCC Member) ..........................................................................34 Pledgee .............................................................................................................................................................36 Processing a Release Return .........................................................................................................................36 Performing a Pledgee Inquiry and Approving a Release Request..................................................................39

Activity Inquiry ...................................................................................................................................................43 About the Activity Inquiry Data Grid..................................................................................................................46 Data Grid: Search .............................................................................................................................................47 Data Grid: Filtering............................................................................................................................................50

Data Grid: Saving Searches .............................................................................................................................51 Data Grid: Command Processing .....................................................................................................................53 Deliver Orders.....................................................................................................................................................55 Deliver Order Types..........................................................................................................................................56 Inputting a Deliver Order...................................................................................................................................60 Participant Activity Research Tool...................................................................................................................64 About Position Value ........................................................................................................................................64 Viewing Position Value .....................................................................................................................................66 Collateral Loan Balances and Market Values...................................................................................................67 Viewing Collateral Loan Closing Balances .......................................................................................................67 About Journal History .......................................................................................................................................69 Viewing Journal History ....................................................................................................................................69 Payment Orders..................................................................................................................................................70 About Payment Orders .....................................................................................................................................70 Payment Order Types.......................................................................................................................................70 Inputting a Payment Order................................................................................................................................74 Pending Activity .................................................................................................................................................79 How a Transaction Becomes a Pending Transaction.......................................................................................80 About Recycling ................................................................................................................................................81 Entering Your Pending Activity Search.............................................................................................................81 Viewing Pending Activity...................................................................................................................................83 Submitting Actions on Pending Transactions ...................................................................................................93 About Holding Pending Transactions ...............................................................................................................96 Position Inquiry ..................................................................................................................................................97 Types of Positions (Free, Other, Miscellaneous)..............................................................................................98 Entering Your Position Inquiry Search..............................................................................................................99 Viewing Positions............................................................................................................................................101 Releasing PDA Position..................................................................................................................................110 Position Movement ..........................................................................................................................................112 About Sub-Account Security Segregation ......................................................................................................112

About Memo Segregation ...............................................................................................................................113 Changing Memo Segregation Position ...........................................................................................................114 About Investment ID .......................................................................................................................................117 Segregating Investment ID Position ...............................................................................................................118 Releasing Investment ID Position...................................................................................................................120 About Collateral Moves (MA/NA) ....................................................................................................................122 Reclassify Securities as Collateral and Non-Collateral (MA/NA) ...................................................................122 Secondary Transaction Approval...................................................................................................................125 About Secondary Transaction Approval .........................................................................................................125 About Secondary Approval Profiles ................................................................................................................126 Creating and Updating Secondary Transaction Approval Profiles .................................................................127 Searching for, Approving, and/or Cancelling Transactions in the Queue.......................................................132 Transaction Audit Details ................................................................................................................................139 Settlement Statements ....................................................................................................................................140 End of Day Consolidated Settlement..............................................................................................................140 DTC and NSCC Cross Endorsement .............................................................................................................141 About Participant, Collateral Group, and Legal Entity Totals .........................................................................142 About Settling Banks ......................................................................................................................................143 Participant Statements....................................................................................................................................143 Participant Activity Total Breakdown (Legal Entity) ......................................................................................143 Viewing DTC and NSCC Activity Codes .......................................................................................................149 Fund Transfers ..............................................................................................................................................150 Settling Bank Statements ...............................................................................................................................152 DTC/NSCC Consolidated Settling Bank Account Statements ......................................................................152 Affiliated FICC and AIP Settling Bank Statements........................................................................................157 Acknowledge and Refuse to Pay Procedures...............................................................................................163 Transaction File Uploads ................................................................................................................................166 About Uploads ................................................................................................................................................166 Getting Templates...........................................................................................................................................167 Settlement Transaction Upload Tips ? Dos and Don'ts..................................................................................172

Uploading Settlement Transactions................................................................................................................173 Inquiring about Settlement Transaction Uploads............................................................................................176 Receiver Authorized Delivery (RAD) ..............................................................................................................179 Introduction to Receiver Authorized Delivery .................................................................................................179 The RAD Profiles ............................................................................................................................................182 Creating/Updating/Viewing/Approving a RAD Profile .....................................................................................190 Working with RAD Transactions .....................................................................................................................193 Searching RAD Transactions ........................................................................................................................193 Filtering RAD Transactions ...........................................................................................................................199 Displaying RAD Audit Details ........................................................................................................................200 Approving and Canceling RAD Transactions................................................................................................202 Using the RAD Snapshot ..............................................................................................................................206 Risk Management Controls Inquiry................................................................................................................208 About Risk Management Controls ..................................................................................................................208 About Net Debit Caps and Debit Peaks .........................................................................................................209 Entering Your Risk Management Controls Inquiry Search .............................................................................210 Viewing Balances............................................................................................................................................210 Business Terms................................................................................................................................................215

Settlement Web user guide

SETTLEMENT WEB OVERVIEW

Settlement Web Overview The Settlement Web is DTC's primary Settlement user interface. Clients have the ability to view their settlement activity as well as to submit settlement transactions to DTC. A Dashboard allows users to view different settlement related events, subscribe to alerts, and save frequently-used queries.

Navigation Bar - How the Product Works

The Navigation Bar allows participants to access their settlement transactions, provides improved inquiry and update abilities through its Data Grid, and allows export to Excel. Functions are grouped on the Navigation Bar for ease of use, and participants may select from the following categories: Activity, Position, Cash and Balances, Transaction Submission, Commands, and Profiles. The Navigation Bar also provides access to the Settlement Web help file and Participant Browser Services (PBS).

How the Product Works DTC has provided seamless navigation between the Settlement Web and PBS interfaces. The Navigation Bar includes a link for all PBS settlement activity. When participants select a function that has not yet been incorporated into the new Settlement Web, they will be brought to the PBS equivalent. Likewise, when participants access a PBS function through the Settlement Web, a link is provided in PBS allowing return access back to the Settlement Web via the Home button on the Navigation Bar.

Settlement Web Overview

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Settlement Web user guide

Using the Dashboard

Settlement Dashboard The Settlement Dashboard consists of individual windows, each of which offers a different view into settlementrelated activity. Current offerings include a window for settlement-related events, optionally selected alerts, on demand reporting, and an information center.

Dashboard Window Settlement Events

Alerts (optional)

On Demand Reporting Information Center

Functionality

Displays key settlement milestones, such as valued recycle cutoff, the times they are expected to occur, and the times they actually complete.

Allows participants to be notified, either via the dashboard or e-mail, of various user-defined settlement events that they have subscribed to.

Allows participants to save, share, and schedule frequently used queries.

Provides a convenient place for participants to view settlement-related information such as user guides and Settlement Important Notices.

Settlement Web Overview

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