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DTCC Internal (Green)DTCC Internal (Green)

DTCC Product Management

Alternative Investment Product

AIP Electronic Documentation & Additional Enhancements

o 2018Revised on September 13, 2018

Added the E-Doc DataTrak/AutoRoute Process via Mainframe - Pages 17-19 Added the New Security Identifier / Security Share Class Reject Code – Page 38 Added a snapshot of the AIP Daily Count Report that shows the New Date Range – Pages 65-66

Revised on October 4, 2018

Added the new requirement for the Inactive Disposition Indicator in the Security General Profile Section – Page 37

Changed the requirement for the E-Doc Manifest extension to no longer be (.txt) - Pages 10, 11, & 18

o The Manifest extension will be based upon how the client is established on the AIP application (CSV or MRO), therefore this document will be revised to reflect that change

o The File Name must be in one of the following formats: Manifest.CSV Manifest.MRO

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Milestone 1 - PSE PSE Migration – Effective September 14, 2018 (The new coding will be implemented after the 7:00pm EOD Cycle on September 13, 2018) - (Eastern Time)

Milestone 2 - PSE PSE Migration – Effective October 5, 2018 (The new coding will be implemented after the 7:00pm EOD Cycle on October 4, 2018) - (Eastern Time)

Milestone 3 -Production Production Migration – Effective November 16, 2018 (The new coding will be implemented after the 7:00pm EOD Cycle on November 15, 2018) - (Eastern Time)

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Table of ContentsElectronic Documentation Enhancements.............................................................................................................4

ELECTRONIC DOCUMENTATION PROCESSING.........................................................................................................PROCESS FLOWCHART......................................................................................................................REMINDER REQUIREMENTS..................................................................................................................DATA TO BE RETAINED....................................................................................................................BILLING REQUIREMENTS....................................................................................................................

Electronic Document Manifest Enhancement – NEW Record.........................................................................................10

NEW RECORD LAYOUT FOR ELECTRONIC DOCUMENT MANIFEST........................................................................................E-DOC ACCEPTANCE/REJECTION MATRIX AGAINST THE E-DOC MANIFEST RECORD.........................................................................NEW DATATRAK/AUTOROUTE PROCESS VIA MAINFRAME............................................................................................DATATRAK / AUTOROUTE NUMBERS............................................................................................................INPUT FILE NAMING CONVENTIONS FOR CDTS - PRODUCTION...................................................................................INPUT FILE NAMING CONVENTIONS FOR CDTS - PSE..........................................................................................E-DOC ZIP FILE REQUIREMENTS...............................................................................................................PARTICIPANT DATA THRU DATATRAK / AUTOROUTE............................................................................................AUTOROUTE DISTRIBUTION SCHEDULE........................................................................................................

Security General Enhancements......................................................................................................................20

Order Enhancements.................................................................................................................................39

Order with Registration Enhancements..............................................................................................................41

Order Acknowledgement-Reject-Exit Enhancement.................................................................................................43

Order Correction-Confirmation Enhancements......................................................................................................44

Account Registration/ Maintenance Enhancement..................................................................................................47

Registration-Maintenance/ Activity Acknowledgement-Reject Enhancement.......................................................................47

Payment Enhancements..............................................................................................................................48

Payment Acknowledgement Enhancements.........................................................................................................49

Valuation Enhancements.............................................................................................................................50

AIW - AIP Daily Record Count Report Enhancement.................................................................................................65

AIP Web Platform Security Announcement Enhancements..........................................................................................66

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Electronic Documentation Enhancements

o Rename the Documentation record to Electronic Documentation

o Remove B=Firm from the Originator Type since all records will be coming only from Funds

Field Name Start End Length

Type Opt/Req Values

Current Documentation Record (090, 091, 092, 093, 094, 095)Originator Type 5 5 1 A/N R B = Firm

F = FundNew Electronic Documentation Record (094, 095, 096)Originator Type 5 5 1 A/N R F = Fund

o Remove the following Record Types from the existing Documentation Record 090 = Firm Documentation 091 = Documentation Acknowledgement by Firm 092 = Documentation Reject by Firm 093 = Fund Documentation

o Remove the following Originator Type from the existing Documentation Record B = Firm

o Add New Record Type 096 = Electronic Documentation Accepted by Fund

o Rename 2 Record Types Existing Field Name - 094 = Documentation Acknowledgement by Fund New Field Name – 094 = Electronic Documentation Acknowledgement by

Fund

Existing Field Name - 095 = Documentation Reject by Fund New Field Name - 095 = Electronic Documentation Reject by Fund

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Type Opt/Req Values

Current Documentation Record (090, 091, 092, 093, 094, 095)Record Type 22 24 3 A/N R 090 = Firm Documentation

091 = Documentation Acknowledgement by Firm092 = Documentation Reject by Firm093 = Fund Documentation094 = Documentation Acknowledgement by Fund095 = Documentation Reject by Fund

New Electronic Documentation Record (094, 095, 096)Record Type 22 24 3 A/N R 094 = Electronic Documentation

Acknowledgement by Fund095 = Electronic Documentation Reject by Fund096 = Electronic Documentation Accepted by Fund

o Remove Documentation Description field and replace with a Filler fieldo AIC, Core, Data Dictionary, Excel Macro, CSV Conversion

o Remove Documentation Acceptance Status field and replace with a Filler fieldo AIC, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req

Values

Current Documentation Record (090, 091, 092, 093, 094, 095)Documentation Description

120 179 60 A/N O

Documentation Acceptance Status

180 180 1 A/N OC Required if Record Type = 091 or 092 or 094 or 0951 = Received2 = Accepted (allowed only for Record Type = 091 or 094)3 = Rejected (allowed only for Record Type = 092 or 095)4 = Partial Acceptance

New Electronic Documentation Record (094, 095, 096)Filler 120 180 61 A/N R

o Rename the following fields: From Fund/Firm Reject Indicator to Fund Reject Indicator From Fund/Firm Reject Reason Code 1 to Fund Reject Reason Code 1 From Fund/Firm Reject Reason Code 2 to Fund Reject Reason Code 2 From Fund/Firm Reject Reason Code 2 to Fund Reject Reason Code 3 From Fund/Firm Reject Reason Code 2 to Fund Reject Reason Code 4

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o Add New Values and Descriptions for Fund Reject Indicator:1 = Rejected by Fund2 = Rejected by Fund Reject Description3 = Rejected by Fund AND Fund Reject Description

New Validation rule 1 = Rejected by Fund

Fund Reject Reason Code 1 – NSCC Reject Codes are Required

2 = Rejected by Fund Reject Description Fund Reject Description is required – Free Form

Description is Required 3 = Rejected by Fund AND Fund Reject Description

Fund Reject Reason Code 1 - NSCC Reject Codes are Required AND

Fund Reject Description – Free Form Description is Required

o The Fund Reject Description Free Form Text Field will be separated by a pipe sign (|) to identify where the next line should start in the text description.

Example of Fund Reject Description Free Form Text, with pipe sign to separate textSignature is missing on page 75 | No selling Agreement on File | Fund Account Number Not Found

o AIC, Core, Data Dictionary, Excel Macro, CSV ConversionField Name Start End Lengt

hType Opt/

ReqValues

Current Documentation Record (090, 091, 092, 093, 094, 095)Fund/Firm Reject Indicator

197 197 1 A/N OC Required for Record Type = 092 or 0951 = Rejected by Firm/Fund

Fund/Firm Reject Reason Code 1

198 201 4 A/N OC Required for Record Type = 092 or 095


202 205 4 A/N O


206 209 4 A/N O


210 213 4 A/N O

New Electronic Documentation Record (094, 095, 096)Fund Reject Indicator 197 197 1 A/N OC Required for Record Type = 095

1 = Rejected by Fund2 = Rejected by Fund Reject Description3 = Rejected by Fund AND Fund Reject Description

Fund Reject Reason Code 1

198 201 4 A/N OC Required for Record Type = 095 if Fund/Firm Reject Indicator is the following:

1 = Rejected by Fund

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3 = Rejected by Fund AND Fund Reject DescriptionFund Reject Reason Code 2

202 205 4 A/N O


206 209 4 A/N O


210 213 4 A/N O

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Fillero Add beginning at position 214o Add New Field length: 50 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha Numerico This will be added for future usage

o AIC, Core, Data Dictionary, Excel Macro, CSV Conversiono Add new field name, values, descriptions, condition, validation rule and reject codes

o Add New Field Name: Fund Reject Descriptiono Add beginning at position 264o Add New Field length: 2000 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha Numerico Add New Reject Code - 0608 Fund Reject Description missing/invalid

o AIC, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req

Values

Current Documentation Record (090, 091, 092, 093, 094, 095)Fund/Firm Reject Reason Code 4

210 213 4 A/N O

New Electronic Documentation Record (094, 095, 096)Filler 214 263 50 A/N RFund Reject Description

264 2263 2000 A/N OC Required for Record Type = 095if Fund Reject Indicator is the following:

2 = Rejected by Fund Reject Description3 = Rejected by Fund AND Fund Reject Description

The Fund Reject Description Free Form Text Field will be separated by a pipe sign (|) to identify where the next line should start. EXAMPLES: Signature is Missing on 5|No Selling Agreement On File |Fund Account Number Not Found|

Special Characters Allowed

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NSCC Reject Reason Codes NSCC Reject Code New Description

0608 Fund Reject Description missing/invalid

Electronic Documentation Processing

The participant (Fund) can use the 094=Electronic Documentation Acknowledgement by Fund, 095=Electronic Documentation Reject by Fund or New Record (096 = Documentation Accepted by Fund) record to indicate whether they acknowledge, accept or reject the Electronic document.

Process Flowchart

Business Rules.

There are two successful ‘tracks’ for E-Doc status (Rejects/Cancels excluded)o Track A: The TA/FA will Acknowledge the E-Doc indicating it was received but will not

Accept the E-Doco Track B: The TA/FA will Acknowledge and then Accept the E-Doc after review is

completed successfully

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Firm Fund

094 = Electronic Documentation Acknowledgement by Fund

095 = Electronic Documentation Reject by Fund

096 = Electronic Documentation Accepted by Fund



For Track A - The Documentation records can come in any sequence (e.g. Documentation Acknowledgment by Fund, or Documentation Reject by Fund can come without any preceding record)

For Track B – The Documentation Acknowledgement is ‘required’ to be submitted before a Documentation Accepted by Fund record can be accepted into the database

There are no reminders for Documentation records Documentation records do not involve settlement – any settlement is driven by the transaction

related to the Electronic Documentation For all Electronic Documentation records, AIP must have received an E-Doc Manifest first; the

Control Number of the Electronic Documentation record must exist in the E-Doc database The 096 = Electronic Documentation Accepted by Fund record will not be accepted unless the

most recent record received (by Control Number) is 094 = Electronic Documentation Acknowledgement by Fund

Once an 096 = Electronic Documentation Accepted by Fund record has been received, no other Electronic Documentation records will be accepted

No Electronic Documentation record will be accepted if the related Order or Account Transfer (process flow indicator = 1) process is complete in the AIP database

No Electronic Documentation record will be accepted if the Account Registration (027) or Account Maintenance (058) or Account Transfer (203) (process flow indicator = 0) record was rejected

Records 094 = Electronic Documentation Acknowledgement by Fund and 095 = Electronic Documentation Reject by Fund will be accepted in any order and there is no limit on the number of records submitted

Transactions related to the E-Doc, such as an Order, have a status independent of the E-Doc and can complete its lifecycle even if the E-Doc is rejected or was not submitted

Firm or Fund cancellation of the Electronic Document isn’t supported – the E-Doc will no longer be valid if the related transaction is cancelled; no notification of E-Doc invalidation will be provided

Once the related transaction is Confirmed or is in its final status, the E-Doc can’t be rejected Participants can send the Documentation records (094, 095 and 096) to AIP in the same file as

other records (Orders, Positions, etc.) or in separate files Electronic Documentation output records will be sent in the AIP Data Output File

Reminder Requirements

N/A

Data to be retained 90 Days from creation date

Billing Requirements

There will be no billing requirements. This record will be considered part of other record processes and will not be charged to either participant

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Electronic Document Manifest Enhancement – NEW Record

Business Rules

The record type is 777 = E-Doc Manifest All fields are required and must be populated The Manifest must be transmitted in a zip file with the related documents There should only be one Manifest per zip file AIP will allow up to five (5) documents in a zip file (excluding the e-doc manifest)

o 6 or more documents within a zip file will be ‘rejected’ back to the submitter Documents included in the Zip file must be in PDF or TIF format only

o AIP will validate that the documents are in PDF or TIF format 50MB is the maximum size allowed to be transmitted per zip file If the Control Number in the E-Doc Manifest does NOT match an ‘active’ Order, Registration,

Maintenance or Transfer in the database, AIP will ‘reject’ the E-Doc Manifest back to the submitter

The Corresponding record related to the zipped documents must be submitted prior to or in the same cycle as the zipped document(s)

The new E-Doc transmission functionality will be supported via ‘mainframe’ only; it is NOT supported via the web (AIW or AIP Web Platform – AIU)

Any participant that will use the E-Doc functionality must be set-up at DTCC to allow submission and receipt of the E-Docs

Both the Firm and Fund must be setup in File Type Blocking Group 3 = Documentation If the E-Doc zip file is submitted by a Service Bureau, it must also be setup in File Type Blocking

Group 3 = Documentation The E-Doc Manifest file name will NOT be case sensitive The file name of the manifest in the zipped file must be: Manifest.CSV or Manifest.MRO The Control Number field will identify the Control Number the E-Docs are related to

o The Control Number must be in the correct formato AIP will validate the Control Number matches an ‘active’ Order, Account Registration,

Account Maintenance or Account Transfer The Electronic Document Control Number Identifier in the E-doc Manifest is required and will

identify the record type the Control Number is related too 1 = Order or Order with Registrationo 2 = Account Transfer

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o 3 = Account Registrationo 4 = Account Maintenance

The Reject Remediation field is required but AIP will NOT validate if the submission is for a reject remediation

The Version Number field will be validated by AIPo The first submission should be 1 and the number must be incremented with each new

submission (1 thru 99) The Number of Documents field should match the number of documents included within the

zipped documento AIP will validate the number populated agrees with the number of documents included in

the zip file NOT including the Manifest.CSV or Manifest.MRO file No E-Doc Manifests will be accepted if a 096 = Electronic Documentation Accepted by Fund

record has been received o AIP will match based upon on the Control Number

For Orders and Account Transfers, the E-Doc Manifest will be ‘rejected’ if the most recent record is a (007 – Confirmation) or (207 - Confirmation of Account Transfer) and the version number of the Manifest is greater than 1

New record layout for Electronic Document Manifest

Field Name Start End

Length Type Opt/Req Values Definition

Record Length 1 4 4 N R Originator Type 5 5 1 A/N R B = Firm

Firm Number 6 13 8 N R The NSCC ID of the broker dealer firm or the custodian firm.

Fund Number 14 21 8 N R The NSCC ID of the Fund Company.

Record Type 22 24 3 A/N R 777- Electronic Document Manifest

Control Number 25 44 20 N R Ppppppppyydddnnnnnnnn Where: pppppppp = Originator Participant Numberyy = Year ddd = Julian datennnnnnn = Unique Sequential Number.

The unique control number input by the submitter to identify the trade.

Electronic Document Control Number Identifier

45 45 1 N R Electronic Document Control Number Identifier:1 = Order or Order with Registration2 = Account Transfer3 = Account Registration4 = Account Maintenance

Identifies the Record the Control Number is associated with.

Version Number 46 47 2 N R 01-99

The first submission should be 01 and

Identifies the version number of the Electronic Document(s)

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the number should be incremented with each subsequent submission

The subsequent version number be greater than the value in the AIP database and must be incremented in sequential order for each submission

01 = The first (initial) submission

Reject Remediation

48 48 1 N R 0 = No1 = Yes

Indicates if the Electronic Document is being sent to remediate an Electronic Document reject

Number of Documents

49 49 1 N R 1-5

If the number of Electronic Documents are greater than five (5), AIP will reject the Electronic Document Manifest

Specifies the number of Electronic Documents included in the zip file.

If more than 5 electronic documents are transmitted, the Electronic Documents will be rejected back to the submitter.

Electronic Documents must be in PDF or TIF Format (no other formats are acceptable)

NSCC Reject Indicator

50 50 1 A/N R Input: SpacesOutput: Populated by NSCC

Space = Accepted by NSCC1 = Rejected by NSCC

NSCC Reject Reason Code 1


Space = Accepted by NSCC Reject Code = Rejected by NSCC










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Firm-Fund Reject/ Exit Codes Reject/Exit Codes New Description

0609 Version Number missing/invalid

0610 Reject Remediation missing/invalid

0611 Number of Documents missing/invalid

0618 Electronic Document Control Number Identifier missing/invalid


0609 Version Number missing/invalid

0610 Reject Remediation missing/invalid

0611 Number of Documents missing/invalid

0618 Electronic Document Control Number Identifier missing/invalid

E-Doc Acceptance/Rejection Matrix against the E-Doc Manifest Record

Order Process

Active Status

Complete Status

096 = Electronic Documentation

Accepted by Fund

E-Doc Manifest Version Number:Initial = First Submission

Subsequent = Subsequent Submissions

Will the E-Doc Be Accepted

or

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Rejected?No Firm Order - 001 N/A N/A Initial / Subsequent RejectedFirm Order - 001 Active Not Transmitted Initial / Subsequent AcceptedFirm Order - 001 Active Transmitted Initial / Subsequent RejectedFirm Order - 001 Complete N/A Initial / Subsequent RejectedFund Acknowledgment - 003 Active Not Transmitted Initial / Subsequent Accepted

Fund Acknowledgment - 003 Active Transmitted Initial / Subsequent Rejected

Fund Acknowledgment - 003 Complete N/A Initial / Subsequent Rejected

Fund Confirmation - 007 Active Not Transmitted Initial AcceptedFund Confirmation - 007 Active Not Transmitted Subsequent RejectedFund Confirmation - 007 Active Transmitted Initial / Subsequent RejectedFund Confirmation - 007 Complete N/A Initial / Subsequent RejectedFirm Correction - 008 Active Not Transmitted Initial / Subsequent AcceptedFirm Correction - 008 Active Transmitted Initial / Subsequent RejectedFirm Correction - 008 Complete N/A Initial / Subsequent RejectedCancelled by AIP (lack of response) Complete N/A Initial / Subsequent Rejected

After Last Cycle day before Settlement Complete N/A Initial / Subsequent Rejected

Fund Reject of Firm Order - 006 Complete N/A Initial / Subsequent Rejected

Fund Exit of Order - 010 Complete N/A Initial / Subsequent RejectedFirm Exit of Order - 009 Complete N/A Initial / Subsequent Rejected

Account Registration

Active Status

Complete Status


Accepted by Fund



Will the E-Doc Be

Accepted or

Rejected?No Registration N/A N/A Initial / Subsequent RejectedFirm Registration Active Not Transmitted Initial / Subsequent AcceptedFirm Registration Active Transmitted Initial / Subsequent RejectedCancelled by AIP (lack of response) Complete N/A Initial / Subsequent Rejected

Fund Registration Acknowledgment Complete Not Transmitted Initial / Subsequent Accepted

Fund Registration Acknowledgment Complete Transmitted Initial / Subsequent Rejected

Fund Registration Reject Complete N/A Initial / Subsequent Rejected

Account Maintenance

Active Status

Complete Status


Accepted by Fund



Will the E-Doc Be

Accepted or

Rejected?No Maintenance N/A N/A Initial / Subsequent RejectedFirm Maintenance Active Not Transmitted Initial / Subsequent AcceptedFirm Maintenance Active Transmitted Initial / Subsequent RejectedCancelled by AIP (lack of response) Complete N/A Initial / Subsequent Rejected

Fund Maintenance Complete Not Transmitted Initial / Subsequent Accepted

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AcknowledgmentFund Maintenance Acknowledgment Complete Transmitted Initial / Subsequent Rejected

Fund Maintenance Reject Complete N/A Initial / Subsequent Rejected

Account Transfer Process Flow Indicator = 0

Active Status

Complete Status


Accepted by Fund



Will the E-Doc Be

Accepted or

Rejected?No Account Transfer N/A N/A Initial / Subsequent RejectedAccount Transfer - 201 Active Not Transmitted Initial / Subsequent AcceptedAccount Transfer - 201 Active Transmitted Initial / Subsequent RejectedCancelled by AIP (lack of response) Complete N/A Initial / Subsequent Rejected

Fund Account Transfer Acknowledgement - 202 Active Not Transmitted Initial / Subsequent Accepted

Fund Account Transfer Acknowledgement - 202 Active Transmitted Initial / Subsequent Rejected

Fund Account Transfer Acknowledgement - 202 Complete Not Transmitted Initial / Subsequent Accepted

Fund Account Transfer Acknowledgement - 202 Complete Transmitted Initial / Subsequent Rejected

Fund Reject of Account Transfer - 203 Complete N/A Initial / Subsequent Rejected

Account Transfer Process Flow Indicator = 1

Active Status

Complete Status


Accepted by Fund



Will the E-Doc Be

Accepted or

Rejected?Account Transfer - 201 Active Not Transmitted Initial / Subsequent AcceptedAccount Transfer - 201 Active Transmitted Initial / Subsequent RejectedCancelled by AIP (lack of response) Complete N/A Initial / Subsequent Rejected

Fund Account Transfer Acknowledgement - 202 Active Not Transmitted Initial / Subsequent Accepted

Fund Account Transfer Acknowledgement - 202 Active Transmitted Initial / Subsequent Rejected

Fund Account Transfer Acknowledgement - 202 Complete N/A Initial / Subsequent Rejected

Fund Reject of Account Transfer - 203 Complete N/A Initial / Subsequent Rejected

Firm Reject of Account Transfer - 204 Complete N/A Initial / Subsequent Rejected

Fund Exit of Account Transfer - 205 Complete N/A Initial / Subsequent Rejected

Firm Exit of Account Transfer - 206 Complete N/A Initial / Subsequent Rejected

Confirmation of Account Transfer - 207 Active Not Transmitted Initial Accepted

Confirmation of Account Transfer - 207 Active Not Transmitted Subsequent Rejected

Confirmation of Account Transfer - 207 Active Transmitted Initial / Subsequent Rejected

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Confirmation of Account Transfer - 207 Complete N/A Initial / Subsequent Rejected

Correction of Account Transfer - 208 Active Not Transmitted Initial / Subsequent Accepted

Correction of Account Transfer - 208 Active Transmitted Initial / Subsequent Rejected

Correction of Account Transfer - 208 Complete N/A Initial / Subsequent Rejected

The 094, 095, and 096 records will be REJECTED if:

- The Order or Account Transfer (Process Flow Indicator = 1) is rejected, completed, exited or closed due to lack or response

- The Account Registration, Account Maintenance or Account Transfer (Process Flow Indicator = 0) have been rejected or closed due to lack of response

- The Account Registration, Account Maintenance or Account Transfer (Process Flow Indicator = 0) has completed more than 90 days prior

New DataTrak/AutoRoute Process via Mainframe

DataTrak / AutoRoute Numbers

Datatrak:

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Description Production ID User Test (PSE) ID

AIP E-Doc Zip Input 05385 45385

AutoRoute:

Description Production ID User Test (PSE) ID

AIP E-Doc Output 02532918 02982918

Participant Input Data Format for DataTrak Input

The table describes the following for each type of connection to DTCC:

Type of Connection

Network used

Supported Transmission protocols

File Type

Additional Notes

Type of Connection

Network Transmission Protocol

File Type Notes

Mainframe SMART SFTP/NDM Compressed Input: Uses the DataTrak message handling service Output: Uses the AutoRoute message handling service

Input File Naming Conventions for CDTS - Production

For files submitted through CDTS, there are naming conventions which are required.

DTSFTP.CXXXX.S05385.SYYYY XXXX is the originator (OCODE)YYYY is the suboriginator

Example

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DTSFTP.CAIP0.S05385.S0000

Input File Naming Conventions for CDTS - PSE

For files submitted through CDTS, there are naming conventions which are required.

DTSUTF.CXXXX.S45385.SYYYY XXXX is the originator (OCODE)YYYY is the suboriginator

ExampleDTSUTF.CAIP0.S45385.S0000

E-Doc Zip File Requirements

o The submitter will not be required to transmit a DataTrak Header or Trailer Recordo CDTS will validate the E-Docs against the Input File Naming Conventions o The Manifest must be transmitted in a zip file with the related documentso There should only be one Manifest per zip fileo AIP will allow up to five (5) documents in a zip file (excluding the e-doc manifest)

o 6 or more documents within a zip file will be ‘rejected’ back to the submittero Documents included in the Zip file must be in PDF or TIF format only

o AIP will validate that the documents are in PDF or TIF formato 50MB is the maximum size allowed to be transmitted per zip fileo Any participant that will use the E-Doc functionality must be set-up at DTCC to allow

submission and receipt of the E-Docs thru CDTSo Both the Firm and Fund must be setup in File Type Blocking Group 3 = Documentationo The E-Doc Manifest file name will NOT be case sensitiveo The file name of the Manifest in the zipped file must be: Manifest.CSV or Manifest.MRO

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Participant Data thru DataTrak / AutoRoute

AutoRoute Distribution Schedule

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Security General Enhancements

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Electronic Document Subscription/Purchase Indicatoro Add New Field length: 1 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0591 Electronic Document Subscription/Purchase Indicator

missing/invalid

o Add New Values and Descriptions:0 = No1 = Yes

o AIC, AIU, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req Values

Current Security General Profile Record (061)Related Parent NSCC Security Issue Number

1233 1248 16 A/N OC Required if the Fund Sub-Type Indicator is provided

If the Sub-Type Eligible Indicator is populated (1 = Yes), this field is not allowed to be provided

New Security General Profile Record (061)Electronic Document Subscription/Purchase Indicator

1249 1249 1 A/N R 0 = No 1 = Yes


0591 Electronic Document Subscription/Purchase Indicator missing/invalid


0591 Electronic Document Subscription/Purchase Indicator missing/invalid

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o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Subscription/Purchase Document Format Indicatoro Add New Field length: 1 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0594 Subscription/Purchase Document Format Indicator

missing/invalid

o Add New Values and Descriptions:1 = Original2 = Copy



Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes

Subscription/Purchase Document Format Indicator

1250 1250 1 A/N OC 1 = Original 2 = Copy

Required if Electronic Document Subscription/Purchase Indicator is 0 = No


0594 Subscription/Purchase Document Format Indicator missing/invalid

NSCC Reject Reason Codes NSCC Reject

New Description

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Code

0594 Subscription/Purchase Document Format Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Electronic Document Redemption/Tender Indicatoro Add New Field length: 1 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0592 Electronic Document Redemption/Tender Indicator

missing/invalid




Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes




Electronic Document Redemption/Tender Indicator

1251 1251 1 A/N R 0 = No 1 = Yes


0592 Electronic Document Redemption/Tender Indicator missing/invalid

NSCC Reject Reason Codes NSCC New Description

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Reject Code

0592 Electronic Document Redemption/Tender Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Redemption/Tender Document Format Indicatoro Add New Field length: 1 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0595 Redemption/Tender Document Format Indicator

missing/invalido Add New Values and Descriptions:

1 = Original2 = Copy

o AIC, AIU, Core, Data Dictionary, Excel Macro, CSV ConversionField Name Start End Lengt

hType Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes

Redemption/Tender Document Format Indicator


Required if Electronic Document Redemption/Tender Indicator is 0 = No


0595 Redemption/Tender Document Format Indicator missing/invalid

NSCC Reject Reason Codes New Description

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NSCC Reject Code

0595 Redemption/Tender Document Format Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Electronic Document Transfer Indicatoro Add New Field length: 1 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0593 Electronic Document Transfer Indicator missing/invalido Add New Values and Descriptions:

0 = No1 = Yes



Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes




Electronic Document Transfer Indicator

1253 1253 1 A/N R 0 = No 1 = Yes

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0593 Electronic Document Transfer Indicator missing/invalid


0593 Electronic Document Transfer Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Transfer Document Format Indicatoro Add New Field length: 1 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0596 Transfer Document Format Indicator missing/invalid








1249 1249 1 A/N R 0 = No 1 = Yes

Subscription/Purchase Document Format


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IndicatorRequired if Electronic Document Subscription/Purchase Indicator is 0 = No


1251 1251 1 A/N R 0 = No 1 = Yes





1253 1253 1 A/N R 0 = No 1 = Yes

Transfer Document Format Indicator


Required if Electronic Document Transfer Indicator is 0 = No


0596 Transfer Document Format Indicator missing/invalid


0596 Transfer Document Format Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Electronic Document Account Registration Indicatoro Add New Field length: 1 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0614 Electronic Document Account Registration Indicator

missing/invalid



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Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes





1253 1253 1 A/N R 0 = No 1 = Yes




Electronic Document Account Registration Indicator

1255 1255 1 A/N R 0 = No 1 = Yes


0614 Electronic Document Account Registration Indicator missing/invalid

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0614 Electronic Document Account Registration Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Account Registration Document Format Indicatoro Add New Field length: 1 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0615 Account Registration Document Format Indicator

missing/invalid




Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes





1253 1253 1 A/N R 0 = No 1 = Yes

Transfer Document 1254 1254 1 A/N OC 1 = Original

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Format Indicator 2 = Copy



1255 1255 1 A/N R 0 = No 1 = Yes

Account Registration Document Format Indicator


Required if Electronic Document Account Registration Indicator is 0 = No


0615 Account Registration Document Format Indicator missing/invalid


0615 Account Registration Document Format Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Electronic Document Account Maintenance Indicatoro Add New Field length: 1 byteso Add New Condition: Requiredo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0616 Electronic Document Account Maintenance Indicator

missing/invalid




Type Opt/Req Values

Current Security General Profile Record (061)

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Related Parent NSCC Security Issue Number




1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes





1253 1253 1 A/N R 0 = No 1 = Yes





1255 1255 1 A/N R 0 = No 1 = Yes




Electronic Document Account Maintenance Indicator

1257 1257 1 A/N R 0 = No 1 = Yes


0616 Electronic Document Account Maintenance Indicator missing/invalid


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Reject Code

0616 Electronic Document Account Maintenance Indicator missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Account Maintenance Document Format Indicatoro Add New Field length: 1 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0617 Account Maintenance Document Format Indicator

missing/invalid




Type Opt/Req Values





1249 1249 1 A/N R 0 = No 1 = Yes





1251 1251 1 A/N R 0 = No 1 = Yes



Required if Electronic Document

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Redemption/Tender Indicator is 0 = NoElectronic Document Transfer Indicator

1253 1253 1 A/N R 0 = No 1 = Yes





1255 1255 1 A/N R 0 = No 1 = Yes




Electronic Document Account Maintenance Indicator

1257 1257 1 A/N R 0 = No 1 = Yes

Account Maintenance Document Format Indicator


Required if Electronic Document Account Maintenance Indicator is 0 = No


0617 Account Maintenance Document Format Indicator missing/invalid


0617 Account Maintenance Document Format Indicator missing/invalid

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o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Qualified Plan Initial Minimumo Add at the End of Recordo Add New Field length: 16 byteso Add New Condition: Optionalo Add New Type: N – Numerico Add New Reject Code - 0597 Qualified Plan Initial Minimum invalid



Type Opt/Req Values




New Security General Profile Record (061)Qualified Plan Initial Minimum

1249 1264 16 N O 99999999999999.99


0597 Qualified Plan Initial Minimum invalid


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0597 Qualified Plan Initial Minimum invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Qualified Plan Subsequent Minimumo Add at the End of Recordo Add New Field length: 16 byteso Add New Condition: Optionalo Add New Type: N – Numerico Add New Reject Code - 0598 Qualified Plan Subsequent Minimum invalid



Type Opt/Req Values




New Security General Profile Record (061)Qualified Plan Initial Minimum

1249 1264 16 N O 99999999999999.99

Qualified Plan Subsequent Minimum

1265 1280 16 N O 99999999999999.99


0598 Qualified Plan Subsequent Minimum invalid


0597 Qualified Plan Subsequent Minimum invalid

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o Change the requirement for the Percent of POP fields from Optional Conditional to Optional o AIU, Core, Database, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req Values

Current Security General Profile Record (061)Percent of POP 1 402 407 6 N OC 999.999

Zeros are AllowedPercent of POP 2 446 451 6 N OC 999.999









Zeros are AllowedNew Security General Profile Record (061)Percent of POP 1 402 407 6 N O 999.999

Zeros are AllowedPercent of POP 2 446 451 6 N O 999.999

Zeros are Allowed

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Percent of POP 3 490 495 6 N O 999.999








Zeros are Allowed

o Add new field value, and change existing value, and validation ruleo Field Name: Fund Status Indicatoro Add New Values and Descriptions:

0 = Active Fund (Existing no change)1 = Frozen Fund (Description Change)2 = Inactive Fund (New Value)

New Validation rule for all record types 0 = Active Fund is defined as allowing all record types into this fund 1 = Frozen Fund is defined as this fund status should only be used before a fund

liquidationo Transfers, Re-registrations and Account Maintenances will NOT be accepted

into this fundo Post Trade Reporting records will still be accepted into this fund

052 – Position050 – Activity/Distribution 060 – Valuation

2 = Inactive Fund is defined as the fund is liquidated, merged or shut down with no investors. o No record types will be accepted except for the Security General record to allow

the fund to permanently delete the security from the AIP database or change the status from ‘inactive’ to ‘active’ or ‘frozen’



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Current Security General Profile Record (061)Fund Status Indicator 602 602 1 A/N R 0 = Active Fund

1 = Closed FundNew Security General Profile Record (061)Fund Status Indicator 602 602 1 A/N R 0 = Active Fund

1 = Frozen Fund2 = Inactive Fund

If a record is rejected due to one of these validations the reject code will be as follows:


0612 Fund is Frozen - This Record Type is not allowed

0613 Fund is Inactive – This Record Type is not allowed


0612 Fund is Frozen - This Record Type is not allowed

0613 Fund is Inactive – This Record Type is not allowed

o Rename field name, add additional value, and change Reject Code descriptiono Existing Field Name: Closed Fund Disposition Indicatoro Rename Field Name: Inactive Fund Disposition Indicatoro Add New Value and Description:

0 = Liquidated1 = Merged2 = Insolvent

o New Validation Rule: Required if the Fund Status Indicator = 2 – Inactive Fundo This requirement will be implemented on 10/4/2018 into PSE

o Change Reject Code - 0211 Inactive Fund Disposition Indicator missing/invalid

AIC, AIU, Core, Data Dictionary, Excel Macro, CSV Conversion

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Type Opt/Req Values

Current Security General Profile Record (061)Closed Fund Disposition Indicator

609 609 1 A/N OC Required if the Fund Status Indicator = 10 = Liquidated1 = Merged

New Security General Profile Record (061)Inactive Fund Disposition Indicator

609 609 1 A/N OC Required if the Fund Status Indicator = 20 = Liquidated1 = Merged2 = Insolvent


0211 Inactive Fund Disposition Indicator missing/invalid

-+NSCC Reject Reason Codes NSCC Reject Code New Description

0211 Inactive Fund Disposition Indicator missing/invalid

Based upon the recommendations of the best practices subcommittee members, the below two (2) fields are now updatable on the Security General Profile record.

Security Identifier Share Class

This will eliminate the need of creating a new NSCC Security Issue Number, whenever a CUSIP or Share Class is added or modified on an existing fund. The Fund will only be required to update either the Security Identifier or Share Class field, instead of creating a new NSCC Security Issue Number.

-+NSCC Reject Reason Codes

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NSCC Reject Code New Description

0460 Security Identifier / Security Share Class already exist

Order Enhancements

o Rename the existing Documentation Status Indicator field and rename descriptions and add new value and description

New Name: Initial Documentation Status Indicator Additional Value and Renamed values

1=Document Sent Via AIP 2=Document Not Sent 3=Document Sent Outside AIP

Rename NSCC Reject Code Description and Firm-Fund Reject Code Description 0079-Initial Documentation Status Indicator missing/invalid



Type Opt/Req

Values

Current Order (001, 002, 032)Documentation Status Indicator

132 132 1 A/N R 1 = Attached (via Paper Flow)2 = Not Attached

New Order (001, 002, 032)Initial Documentation Status Indicator

132 132 1 A/N R 1 = Document Sent Via AIP2 = Document Not Sent3 = Document Sent Outside AIP

o Change validation rules for partial redemptions to allow the Money Amount field or the Share Quantity field to be populated

Relax the validation edit on the existing ‘Money Amount’ field Existing Validation Rule – Transaction Code (03) – Partial Redemption Request is NOT

allowed New Validation Rule – Transaction Code (03) – Partial Redemption Request is allowed to be

populated on the Money Amount field, if the Share Quantity field is NOT provided If both the Money Amount and Share Quantity fields are provided, AIP will reject the Order

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Relax the validation edit on the existing ‘Share Quantity’ field

Existing Validation Rule – Required for Transaction Code (03) – Partial Redemption Existing Validation Rule - Zeros are not allowed for Transaction Code (03 – Partial

Redemption Request)

New Validation Rule – Transaction Code (03) – Partial Redemption Request will become required, if the Money Amount field is NOT Provided

Zeros are not allowed for Transaction Code (03 – Partial Redemption Request) If both the Share Quantity and Money Amount fields are provided, AIP will reject the Order


Type Opt/Req

Values

Current Order (001, 002, 032)Money Amount 133 148 16 N OC Required for Transaction Codes:

01 = Initial purchase 02 = Subsequent purchase 05 = Capital Call

For Purchases settling through NSCC, the money amount must be greater than zero.

Not allowed for Transaction Codes:03 = Partial Redemption Request04 = Full Redemption Request

99999999999999.99Maximum is 9999999999999.99 per dayThis amount will be settled by NSCC if Settlement Indicator = 1

Share Quantity 155 168 14 N OC 99999999.999999

Required for Transaction Code: 03 = Partial Redemption Request

Zeros are not allowed for Transaction Code (03 - Partial Redemption Request)

New Order (001, 002, 032)Money Amount 133 148 16 N OC Required for Transaction Codes:



Required for Transaction Code - 03 = Partial

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Redemption Request if Share Quantity is not populated

Both the Share Quantity and Money Amount fields cannot be provided for - 03 = Partial Redemption Request


Not allowed for Transaction Code - 04 = Full Redemption Request



Required for Transaction Code - 03 = Partial Redemption Request if Money Amount is not populated.



Order with Registration Enhancements

o Rename the existing Documentation Status Indicator field and rename values and add new value and description






Type Opt/Req

Values

Current Order with Registration (011, 012, 043)Documentation Status Indicator


New Order with Registration (011, 012, 043)Initial Documentation Status Indicator

132 132 1 A/N R 1 = Document Sent Via AIP2 = Document Not Sent

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3 = Document Sent Outside AIP


Relax the validation edit on the existing ‘Money Amount’ field

Existing Validation Rule – Transaction Code (03) – Partial Redemption Request is NOT allowed

New Validation Rule – Transaction Code (03) – Partial Redemption Request is allowed, if the Share Quantity field is NOT provided

If both the Money Amount and Share Quantity fields are provided, AIP will reject the Order

Relax the validation edit on the existing ‘Share Quantity’ field

Existing Validation Rule – Required for Transaction Code (03) – Partial Redemption Existing Validation Rule - Zeros are not allowed for Transaction Code (03 – Partial

Redemption Request)

New Validation Rule – Transaction Code (03) – Partial Redemption Request will become required, if the Money Amount field is NOT Provided



Type Opt/Req

Values

Current Order with Registration (011, 012, 043)Money Amount 133 148 16 N OC Required for Transaction Codes:



Not allowed for Transaction Codes:

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03 = Partial Redemption Request04 = Full Redemption Request



Required for Transaction Code: 03 = Partial Redemption Request


New Order with Registration (011, 012, 043)Money Amount 133 148 16 N OC Required for Transaction Codes:



Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated



Not allowed for Transaction Code - 04 = Full Redemption Request



Required for Transaction Code - 03 = Partial Redemption Request if Money Amount is not populated.



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Order Acknowledgement-Reject-Exit Enhancement

o Remove the existing Documentation Status Indicator field and replace with a Filler fieldo AIC, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req

Values

Current Order Acknowledgement-Reject-Exit Record (003, 004, 005, 006, 009, 010, 036, 037, 038)Documentation Status Indicator

780 780 1 A/N O Allowed only for Record Types = 004, 006, 009, 010, 037, 0383 = Not Found4 = Received5 = Accepted6 = Partial accepted7 = Rejected

New Order Acknowledgement-Reject-Exit Record (003, 004, 005, 006, 009, 010, 036, 037, 038)Filler 780 780 1 A/N R Space

Order Correction-Confirmation Enhancements


o Relax the validation edit on the existing ‘Money Amount’ field

Existing Validation Rule – Transaction Code (03) – Partial Redemption Request is NOT allowed

New Validation Rule – Transaction Code (03) – Partial Redemption Request is allowed, if the Share Quantity field is NOT provided

If both the Money Amount and Share Quantity fields are provided, AIP will reject the Order

o Relax the validation edit on the existing ‘Share Quantity’ field

Existing Validation Rule – Required for 008-Correction or 041-Prepaid Correction Existing Validation Rule - Zeros are not allowed for Transaction Code (03 – Partial

Redemption Request) New Validation Rule – Required for 008-Correction or 041-Prepaid Correction, except if

Transaction Code (03) – Partial Redemption Request and the Money Amount field is Provided



Type Opt/Req

Values

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Current Order Correction-Confirmation (007, 008, 040, 041,042)Money Amount 133 148 16 N OC For the following record types:

007 = Confirmation 040 = Prepaid Confirmation042 = Contract NoteThe Money Amount is required and must be greater than 0 for settling transactions.

For the following record types:008 = Correction 041 = Prepaid Correction

The Money Amount is required if the Transaction Code is:01 = Initial purchase02 = Subsequent 05 = Capital Call

The Money Amount is not allowed if the Transaction Code is:03 = Partial Redemption Request04 = Full Redemption Request


Share Quantity 155 168 14 N OC Required for record types: 008 = Correction 041 = Prepaid Correction

If Transaction Code = 03 = Partial Redemption Request Zeros are not allowed

Otherwise this field is optional

99999999.999999New Order Correction-Confirmation (007, 008, 040, 041,042)Money Amount 133 148 16 N OC For the following record types:

007 = Confirmation 040 = Prepaid Confirmation042 = Contract NoteThe Money Amount is required and must be greater than 0 for settling transactions.

For the following record types:008 = Correction 041 = Prepaid Correction

The Money Amount is required if the Transaction Code is:01 = Initial purchase02 = Subsequent 05 = Capital Call

And

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Required for Transaction Code - 03 = Partial Redemption Request if Share Quantity is not populated



The Money Amount is not allowed if the Transaction Code - 04 = Full Redemption Request


Share Quantity 155 168 14 N OC Required for record types: 008 = Correction 041 = Prepaid Correction

If Transaction Code - 03 = Partial Redemption Request and Money Amount is not populated.



Otherwise this field is optional

99999999.999999

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Account Registration/ Maintenance Enhancement







Type Opt/Req

Values

Current Account Registration-Maintenance (025, 053)Documentation Status Indicator


New Account Registration-Maintenance (025, 053)Initial Documentation Status Indicator


Registration-Maintenance/ Activity Acknowledgement-Reject Enhancement

o Remove the existing Documentation Status Indicator field and replace with a Filler field

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Type Opt/Req Values

Current Registration Activity Acknowledgement-Reject Record (026, 027, 057, 058, 054, 055)Documentation Status Indicator

85 85 1 A/N O 3 = Not Found

4 = Received

5 = Accepted

6 = Partial accepted7 = Rejected

New Registration Activity Acknowledgement-Reject Record (026, 027, 057, 058, 054, 055)Filler 85 85 1 A/N R Space

Payment Enhancements

o Remove Settlement Date/Contract Note field and replace with filler

AIC, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req Values

Current Payment Record (030)Settlement Date/Contract Note

122 129 8 N O mmddccyy

New Payment Record (030)Filler 122 129 8 A/N R Space




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Type Opt/Req

Values

Current Payment (030)Documentation Status Indicator


New Payment (030)Initial Documentation Status Indicator


Payment Acknowledgement Enhancements

o Remove Settlement Date/Contract Note field and replace with filler

AIC, Core, Data Dictionary, Excel Macro, CSV Conversion


Type Opt/Req Values

Current Payment Acknowledgement Record (031)Settlement Date/Contract Note

138 145 8 N S S = Systematically Populated By NSCC

If populated, NSCC will overlay this field with the data provided in the original transaction.

New Payment Acknowledgement Record (031)Filler 138 145 8 A/N R Space

o Rename the existing Documentation Status Indicator field New Name: Initial Documentation Status Indicator


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Type Opt/Req

Values

Current Payment Acknowledgement (031)Documentation Status Indicator

148 148 1 A/N S S = Systematically Populated By NSCC


New Payment Acknowledgement (031)Initial Documentation Status Indicator

148 148 1 A/N S S = Systematically Populated By NSCC


Valuation Enhancements

o Remove Effective Date field and replace with filler



Type Opt/Req Values

Current Valuation Record (060)Effective Date 94 101 8 N R mmddccyy

(backdating is allowed)Filler 102 102 1 A/N R

New Valuation Record (060)Filler 94 102 9 A/N R Space

o Remove Reporting Currency NAV field and replace with filler


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Type Opt/Req Values

Current Valuation Record (060)Reporting Currency NAV

167 182 16 N R 9999999999.999999

New Valuation Record (060)Filler 167 182 16 A/N R Space

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Value Correction Indicatoro Add replacing one position in newly created Filler fieldo Add New Field length: 1 byteso Add New Condition: Optionalo Add New Type: N – Numerico Add New Reject Code - 0599 Value Correction Indicator invalid



Type Opt/Req Values

Current Valuation Record (060)Filler 167 182 16 A/N R Space

New Valuation Record (060)Filler 167 181 15 A/N R SpaceValue Correction Indicator

182 182 1 A/N O Space = No Value Correction or Original Value 1 = Value Correction


0599 Value Correction Indicator invalid


0599 Value Correction Indicator invalid

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o Rename field name, values, descriptions, condition, validation rule and reject codeso Rename Field Name: Primary Valuation Methodo Rename Reject Code - 0544 Primary Valuation Method missing/invalido Rename values 07 and 08

o 07 = Commission Based POPo 08 = Fee Based POP



Type Opt/Req Values

Current Valuation Record (060)Valuation Method 257 258 2 A/N R 00 = Any independent Valuation Firm's

appraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Public Offering Price08 = N/A

New Valuation Record (060)Primary Valuation Method

257 258 2 A/N R 00 = Any independent Valuation Firm'sappraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP08 = Fee Based POP


0544 Primary Valuation Method missing/invalid


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Reject Code

0544 Primary Valuation Method missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Primary Value o Add at the end of the recordo Add New Field length: 16 byteso Add New Condition: Requiredo Add New Type: N – Numerico Add New Reject Code - 0600 Primary Value missing/invalid



Type Opt/Req Values

Current Valuation Record (060)Primary Valuation Method


New Valuation Record (060)Primary Value 259 274 16 N R 9999999999.999999

Zeros are allowed


0600 Primary Value missing/Invalid


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0600 Primary Value missing/Invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Primary Value as of Dateo Add at the end of the recordo Add New Field length: 8 byteso Add New Condition: Requiredo Add New Type: N – Numerico Add New Reject Code - 0601 Primary Value as of Date missing/invalid



Type Opt/Req Values




Zeros are allowedPrimary Value as of Date

275 282 8 N R mmddccyy (backdating is allowed)


0601 Primary Value as of Date missing/Invalid


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0601 Primary Value as of Date missing/Invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Secondary Valuation Methodo Add at the end of the recordo Add New Field length: 2 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0602 Secondary Valuation Method missing/invalid



Type Opt/Req Values






Secondary Valuation Method

283 284 2 A/N OC Required if Secondary Value is populated

00 = Any independent Valuation Firm'sappraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP08 = Fee Based POP

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0602 Secondary Valuation Method missing/invalid


0602 Secondary Valuation Method missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Secondary Value o Add at the end of the recordo Add New Field length: 16 byteso Add New Condition: Optional Conditionalo Add New Type: N – Numerico Add New Reject Code - 0603 Secondary Value missing/invalid



Type Opt/Req Values


257 258 2 A/N R 00 = Any independent Valuation Firm'sappraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in

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informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP08 = Fee Based POP







Secondary Value 285 300 16 N OC Required if Secondary Valuation Method is populated

9999999999.999999

Zeros are allowed


0603 Secondary Value missing/Invalid

NSCC Reject Reason Codes

New Description

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NSCC Reject Code

0603 Secondary Value missing/Invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Secondary Value as of Dateo Add at the end of the recordo Add New Field length: 8 byteso Add New Condition: Optional Conditionalo Add New Type: N – Numerico Add New Reject Code - 0604 Secondary Value as of Date missing/invalid



Type Opt/Req Values








00 = Any independent Valuation Firm'sappraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP

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08 = Fee Based POPSecondary Value 285 300 16 N OC Required if Secondary Valuation Method is

populated

9999999999.999999

Zeros are allowedSecondary Value as of Date

301 308 8 N OC Required if Secondary Value is populated

mmddccyy (backdating is allowed)


0604 Secondary Value as of Date missing/Invalid


0604 Secondary Value as of Date missing/Invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Tertiary Valuation Methodo Add at the end of the recordo Add New Field length: 2 byteso Add New Condition: Optional Conditionalo Add New Type: A/N – Alpha/Numerico Add New Reject Code - 0605 Tertiary Valuation Method missing/invalid

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Type Opt/Req Values









Secondary Value 285 300 16 N OC Required if Secondary Valuation Method is populated

9999999999.999999




Tertiary Valuation Method

309 310 2 A/N OC Is not allowed to be populated unless all Secondary Valuation fields are populated.

Required if Tertiary Value is populated

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0605 Tertiary Valuation Method missing/invalid


0605 Tertiary Valuation Method missing/invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Tertiary Value o Add at the end of the recordo Add New Field length: 16 byteso Add New Condition: Optional Conditionalo Add New Type: N – Numerico Add New Reject Code - 0606 Tertiary Value missing/invalid



Type Opt/Req Values


257 258 2 A/N R 00 = Any independent Valuation Firm'sappraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts

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03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP08 = Fee Based POP







Secondary Value 285 300 16 N OC Required if Secondary Valuation is populated

9999999999.999999








Tertiary Value 311 326 16 N OC Is not allowed to be populated unless all Secondary Valuation fields are populated.

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Required if Tertiary Valuation Method is populated

9999999999.999999

Zeros are allowed


0606 Tertiary Value missing/Invalid


0606 Tertiary Value missing/Invalid

o Add new field name, values, descriptions, condition, validation rule and reject codeso Add New Field Name: Tertiary Value as of Dateo Add at the end of the recordo Add New Field length: 8 byteso Add New Condition: Requiredo Add New Type: N – Numeric

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o Add New Reject Code - 0607 Tertiary Value as of Date missing/invalid

o AIC, AIU, Core, Data Dictionary, Excel Macro, CSV Conversiono


Type Opt/Req Values









Secondary Value 285 300 16 N OC Required if Secondary Valuation is populated

9999999999.999999







00 = Any independent Valuation Firm's

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appraisal of program's assets01 = The program manager's estimate of the value of the program assets (NAV)02 = The book value of the program's assets or capital accounts03 = Repurchase prices paid for program interests04 = Sales prices of the program interests in informal secondary markets05 = Net Investment Methodology06 = Not Priced07 = Commission Based POP08 = Fee Based POP

Tertiary Value 311 326 16 N OC Is not allowed to be populated unless all Secondary Valuation fields are populated.

Required if Tertiary Valuation Method is populated

9999999999.999999

Zeros are allowedTertiary Value as of Date

327 334 8 N OC Is not allowed to be populated unless all Secondary Valuation fields are populated.




0607 Tertiary Value as of Date missing/Invalid


0607 Tertiary Value as of Date missing/Invalid

AIW - AIP Daily Record Count Report Enhancement

AIP Daily Record Count Report – A report that captures both sides of the transaction count for the (Submitter and Recipient). This report will help participants reconcile their monthly billing invoice to ensure transactions are billed correctly.

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All members can gain access to this report for their organization via their designated Super Access Coordinator(s).

Currently, the AIP Daily Record Count Report will only allow users to select a specific process date and not a date range.

This report has been enhanced to support a calendar data range, so users can capture a specific date range for reconciliation.

BEFORE

AFTER

The AIP Daily Record Count Report will now allow the user to select a date range to view their daily transactions.

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AIP Web Platform Security Announcement Enhancements

o Currently the funds are unable to create future dated Security Announcements for different offering periods via the Web.

o AIP was enhanced to allow the Funds to update a ‘future dated’ Security Announcement, via the AIU Participant Web Screens

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