Alternative Investment Products (AIP)
IMPLEMENTATION GUIDEJANUARY 8, 2024

Implementation Guide

TABLE OF CONTENTS
Implementation Guide ......................................................................................................................................... 4
Implementation Guide Overview.........................................................................................................................4
AIP Service Overview .......................................................................................................................................... 5Contact & Support...............................................................................................................................................5
Hours of Operation..............................................................................................................................................5
Originator Types .................................................................................................................................................5
Processing ............................................................................................................................................................ 6
Input ....................................................................................................................................................................7
Input Deadline Extension Guidelines ..................................................................................................................7
Output .................................................................................................................................................................7
Service Legal Agreement ...................................................................................................................................7
Environments ......................................................................................................................................................7
Process Flow ......................................................................................................................................................8
Files ....................................................................................................................................................................... 9
Records ............................................................................................................................................................... 10
Input Records ....................................................................................................................................................10
Output Records .................................................................................................................................................10
Settlement .........................................................................................................................................................10
Electronic Documentation (E-Doc) ...................................................................................................................11
Document Transfer ...........................................................................................................................................11
Technical Architecture and Data Retention .................................................................................................... 12
Technical Architecture .....................................................................................................................................12
Data Retention ................................................................................................................................................12
Components of Implementation ....................................................................................................................... 13
Membership .....................................................................................................................................................13
Connectivity .....................................................................................................................................................13
Network ..........................................................................................................................................................13
Protocol ..........................................................................................................................................................13
File Format .....................................................................................................................................................13
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Connectivity Summary Table .........................................................................................................................14
Set-up and Configuration ...............................................................................................................................14
Mainframe ....................................................................................................................................................14
HTTPS/Browser ...........................................................................................................................................14
Application .....................................................................................................................................................15
Excel Macro ...................................................................................................................................................15
Client Application ...........................................................................................................................................15
Testing ...........................................................................................................................................................15
Contras/Counterparties..................................................................................................................................16
Processing Orders of Records ..........................................................................................................................16
AIP Validation – Hard Rejects ..........................................................................................................................18
Transmission Validation ..................................................................................................................................19
Input Data Format Validation...........................................................................................................................19
Basic Rules Validation.....................................................................................................................................19
Business Rules Validation ...............................................................................................................................19
AIP Validation – Soft Reason Codes ..............................................................................................................20
Firm-Fund Validation .......................................................................................................................................20
AIP Records ........................................................................................................................................................ 21
Reminders .........................................................................................................................................................21
Appendix ............................................................................................................................................................. 22
Acceptable Characters .....................................................................................................................................22
Standard Characters .......................................................................................................................................22
Special Characters ..........................................................................................................................................22
State, Country, and Currency Codes ................................................................................................................23
State Codes .....................................................................................................................................................23
Country Codes ................................................................................................................................................25
Currency Codes ..............................................................................................................................................35
Reminders .........................................................................................................................................................42
DataTrak Confirm Rejects/Warnings ................................................................................................................ 45
File Type Blocking Grouping ............................................................................................................................ 48

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Implementation Guide

IMPLEMENTATION GUIDE
Implementation Guide Overview
This guide provides an overview of the information needed to implement AIP for mainframe connections andbrowser-based applications. In addition to this guide, the Data Dictionary, which provides byte-by-byte detail of
all records, and Transaction Flows should be used to fully understand how the service works. AIP
documentation can be found on the AIP website: www.dtcc.com/aip. Other reference information such as
sample files are available upon request.

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AIP SERVICE OVERVIEW
DTCC’s Alternative Investment Product Services (AIP) is a standardized, trading and reporting platform thatlinks the alternative investments industry to securely and efficiently exchange data and money. The
centralized AIP Platform was built in collaboration with industry partners and designed to be easily accessible
to all alternatives marketplace participants. Engineered to support alternative investments products including
hedge funds, funds of funds, private equity, non-traded REITs and business development companies, theplatform helps eliminate manual transactions, speed processes, lower operational risks and costs and increasetransparency across the marketplace.
The service automates a broad range of pre-trade, trade, and post-trade transactions such as creating a profile
for a fund, announcing information about a fund, processing orders and communicating position, and activity
data. The system also supports money settlement, electronic document transmission and provides reminders
for some transactions.
Transactions are bilateral, generally, with a ‘Firm’ on one side of the transaction and a ‘Fund’ on the other side.
Dependent upon the transaction type, Firms and Funds can play the role of sender or receiver.
If a record should be sent to multiple recipients, for example for a Security General Profile, this can beaccomplished by repeating the same record and specifying a different recipient on each record. Additionally,
entities such as Service Bureaus and Fund Administrators can send and/or receive transactions on behalf ofFunds or Firms. Please note there are some records such as reminders and settlement that originate from the
AIP application only and are sent to AIP clients.

Contact & Support
For additional information or questions about the service, please contact a member of the AIP team. Contact
information is available on the AIP website. For Production support, please contact 888-382-2721 or 212-8558099 Options 5-5-2 or AIPSupport@dtcc.com.

Hours of Operation
The AIP service is available for transaction processing six days week, from Monday through Saturday while
settlement is processed Monday through Friday. There are transactions and settlement on some holidays, which
are noted on the ‘Essentials’ section of the AIP Website under - Holiday Processing Output Schedule.

Originator Types
In the AIP system, there are two Originator Types – Fund and Firm. These roles specify which files can be
inputted as well as the types of records that can be submitted or received. Generally, AIP Firms are BrokerDealers or Custodians, and AIP Funds are Funds, Fund Administrators or Funds of Funds. Funds can only
send AIP Fund Input while Firms can only send AIP Firm Input. Both Funds and Firms can receive the three
primary output files: AIP Records Output, AIP Settlement Output and AIP Reminders/Broadcast. Service
providers can submit and receive transactions for AIP Firms and/or AIP Funds who have designated them todo so.

AIP Service Overview

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PROCESSING
The AIP system processes input transactions as they are received, and output becomes available afterscheduled output cycles are completed; output timing can vary based on input volume. Output processing
starts at the times indicated below. Please refer to the AIP website under the ‘Essentials’ section for the most
updated – Output Schedule.

Processing

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Input
Input files can be submitted to the AIP service during the hours of operation. Each file can contain thousandsof records of different record types and multiple files can be submitted throughout the day. Any updates madeto the following records require a cache refresh before AIP will validate against those new updates:•

Security General Profile•

Security Contact•

Security Announcement

The cache refresh is done after each AIP Output Cycle. For example, if an update is made to one of the above
records in Cycle 1, AIP will only validate against those updates for records sent in Cycle 2 or thereafter.
Note:
Input submitted on Sundays and non-processing days such as holidays will be rejected unless certain modifications are
made to the file.

Input Deadline Extension Guidelines
Input files must be received by DTCC before the applicable cycle deadline as published in the output schedule.
Under certain limited circumstances, DTCC may extend a cycle deadline. If an extension is needed for any
input submission, firms should use one of the following methods to obtain support:•

Email aipsupport@dtcc.com•

Call DTCC Client Support at 1-888-382-2721 and follow the prompt for production support

If DTCC, at its sole discretion, extends a deadline that would significantly delay processing, a communication
will be distributed.

OutputOutput files are created after the output process is complete; however, there will not be a notification when
output is available. Depending upon the connectivity configuration, the file will either be transmitted to theclient or the client will need to request/download output.

Service Legal Agreement
The AIP SLA target is to complete processing within 45 minutes of the cycle time specified in the Production
processing schedule. Extended delays will be communicated to AIP clients via email notification.

Environments
The AIP application has two environments that can be accessed through any connectivity option. There is the
Production environment and the Test environment, which is referred to as PSE (Participant Services
Environment). All testing should be conducted in the PSE environment, and it is recommended that all firms
test in PSE before going to Production to ensure they are familiar with all processes related to AIP.
Note:
Production data should not be submitted in the Test/PSE environment.

Processing

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Process Flow
Individual Transaction Flows are provided on the AIP website but the diagram below provides a general overview
of how the process flow works. For simplicity, reminders and settlement aren’t included.

Note:
DataTrak Confirm Rejects/Warnings and reject codes are detailed in the Appendix.

Processing

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FILES
There are several files processed and created by the AIP system which are detailed in the table below. Clientsare required to request the files they would like to be configured for during the set-up process.
AIP FILES
File

File Description

Test (PSE)

Production

AIP Firm Input

Used to transmit AIP input data from a Firm

45346

05346

AIP Fund Input

Used to transmit AIP input data from a Fund

45376

05376

AIP E-Doc Zip Input

Used to transmit AIP Electronic Documentation 45385

05385

AIP Document Transfer Zip Used to transmit AIP Document Transfer Zip
Input
File

45386

05386

AIP Records Output

Generated by the AIP application and contains 02980046
AIP records as well as rejects for both Firmand Fund input

02530046

AIP Settlement Output

Generated by the AIP application and contains 02980076
settlement information

02530076

AIP Reminders/Security
BroadcastReminders: Generated by the AIP applicationand sent to both Firm and Fund to provide
notification that AIP is waiting on receipt of a
specific record

02981540

02531540

Generated by the AIP application and contains 02982918
Electronic Documentation

02532918

AIP Document Transfer Zip Generated by the AIP application and contains 02983918
OutputDocument Transfer files/records

02533918

Security Broadcast Messages: Generated by
the AIP application and sent to Firms for
notification of a new record or change to an
existing record for the Security General Profile(061), Security Announcement (062) and
Security Contact (063)
AIP E-Doc Output

Files

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RECORDS
Input Records
At a summary level, AIP files have three categories of records: DataTrak/AutoRoute/CDTS Header and Trailer
Records, AIP Application Header and Trailer Records and AIP Business Records. The order of records in an
input file is:•

DataTrak/CDTS Header•

AIP Business Records•

DataTrak/CDTS Trailer

Mainframe users must provide all of the records within the file. Browser users only need to create files by
inputting data in the Excel Macro or creating a file with only AIP Business Records – both types of headers andtrailers are created by the application when the file is uploaded.

Output Records
There are two structures for output records with the AIP Records Output and AIP Reminders/Security
Broadcast sharing one structure while the AIP Settlement Output has a different structure. Details are below.
AIP Records Output and AIP Reminders/Security Broadcast•

AutoRoute/CDTS Header•

AIP Application Header•

AIP Business Records•

AIP Application Trailer

AIP Settlement Output•

AutoRoute/CDTS Header•

Settlement Detail•

Settlement Trade Trailer•

Settlement Grand Total Trailer

Note:
The Settlement Output file includes settling transactions and non-settling transaction when the Settlement Date on therecord is populated.

Settlement
AIP supports money settlement for companies that have completed the process to become eligible forsettlement, including the designation of an AIP Settlement Bank. Settlement files contain settlement data,
organized by Settlement Date (SD). Settlement files provide information for transactions leading up tosettlement date starting four business days in advance: SD-3, SD-2, SD-1, and SD. The information isprovided on a rolling basis so today’s SD-3 transaction will be tomorrow’s SD-2 transaction, etc. and will reflect
Records

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any changes made. Please contact a member of the AIP team to discuss the set-up of a settling bank if
settling transactions will be implemented.

Electronic Documentation (E-Doc)AIP supports the transmission of electronic documents (PDF or TIF) that are associated with AIP transactions.
The process uses a zip file containing the documentation along with a ‘manifest’ that associates the documents
to the Control Number of the related transaction. The E-Doc functionality supports Orders, Account Transfers,
Account Registrations and Account Maintenance records.

Document Transfer
AIP allows Senders and Receivers, regardless of entity type, to transmit PDF documents via SFTP or NDM for
Purchase, Redemption, Transfer or Maintenance transactions that are stand-alone or related to an AIPTransaction. The process uses a zip file containing the PDF(s) along with a ‘manifest’ file that associates the
PDF(s) that are contained within the zip file.

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TECHNICAL ARCHITECTURE AND DATA RETENTION
Technical Architecture
The application runs on DTCC’s Distributed Environment, and the following table provides additional
information about the technical details.
TECHNICAL APPLICATION DETAILS
Name

Type

Description

AIP Processor

Java/Oracle/DB2

Reads and validates submitted records and bulk inserts the records
into the Oracle Database tables. This component runs continuously
as a server and is implemented in Java. It processes records in batchas they become available in the work queue.

Database Modules

OracleDatabase object creation, archiving and purging.

Gateway/CDTS

Mainframe Cobol

Utilize DTCC CDTS (Common Data Transfer System) as the gateway
to the AIP application for all incoming and outgoing files.

Web Upload andDownload

Web interface for CSV and MRO files hosted on DTCC CRE(Common Runtime Environment) environment built on IBM Web
sphere clusters.

Data Retention
All incoming data will be stored for 2 weeks. All outgoing data will be stored for 5 years.
Document Transfer incoming and outgoing files will be stored for 14 months. A request to AIP ProductManagement to provide a copy of the file is required.

Technical Architecture and Data Retention

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COMPONENTS OF IMPLEMENTATION
There are three key components to implementation: Membership, Connectivity, and Application.

Membership
Either your company or the company you are transmitting on behalf of must become an AIP member even if
you have an existing membership with one of the DTCC entities such as DTC, NSCC or FICC. Please speak
to a member of the AIP team to review this process.

Connectivity
Network
The AIP service can be accessed via DTCC’s private SMART (Securely Managed And Reliable Technology)
network or via the internet. The SMART network provides greater security and automation, but theimplementation can be more complex if it’s being set-up for the first time. Additionally, there may be installation
and/or monthly fees if the connection is not already established for another DTCC service. Companies thathave an existing SMART connection with ample bandwidth can leverage it with no additional cost and it istypically the simplest and best connectivity option. SMART is available via an MPLS dedicated circuit or
ANIRA, a desktop VPN client; additional information is available for both of these options from an AIP teammember. There are no DTCC charges for connecting with the browser application via the internet, but users
need to manually upload and download files.

ProtocolThe AIP application is available via SFTP (SSH), FTPS (SSL), NDM, and HTTPS.

File Format
SFTP, FTPS, NDM and the browser-based application support both MRO and CSV file formats. The choice offile format must be specified at the time of set-up and files will be generated and expected in that format typeunless a request is submitted to change it.

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Connectivity Summary Table
The following table expresses all of the options for connectivity in a matrix format.
CONNECTIVITY SUMMARY
ProtocolNetwork

File Format

SMART-MPLS SMART- ANIRAInternet

MRO

CSV

SFTP

Yes

No

Yes

Yes

Yes

FTPS

Yes

No

Yes

Yes

Yes

NDM

Yes

No

No

Yes

Yes

HTTPS

Yes

Yes

Yes

Yes

Yes

Set-up and Configuration
The set-up and configuration depends upon the protocol and network type selected. SFTP, FTPS and NDM,
which are referred to as mainframe connections, follow one general process while HTTPS/browser users follow
another.

Mainframe
The following steps should be followed to set-up a mainframe connection to AIP:•

Ask an AIP team member to set-up a connectivity call with the DTCC connectivity team to review theprocess and requirements.

•

Receive and complete documentation including a Router Exchange Form (REF) requesting set-up of an
AIP connection including IP addresses, nodes, etc.

•

Conduct high-level connectivity testing with the DTCC connectivity team to ensure the connection is
working in the Test environment.

•

Complete application testing with test partners.

•

Activate membership, have the Test environment set-up mirrored in Production and start sendingtransactions in Production.

HTTPS/Browser
The following steps should be followed to set-up a HTTPS/Browser connection to AIP:•

Complete the Super Access Coordinator (SAC) form to set-up at least two people at your company toadminister access for users of the AIP application:o

A SAC performs administrative functions such as setting up user IDs for the AIP application.

o

A SAC uses a browser-based application called the Customer Registration System (CRS), which
resides on the DTCC Portal along with the AIP application.

o

A SAC form will be sent via email and needs to be completed, printed, signed, and returned to
DTCC.

o

Once received and processed, a SAC will receive instructions to login and set-up users.

o

There are several roles available for users, which can be assigned based on the entitlements
required by each user.

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An extensive SAC guide is available upon request and/or will be emailed to you with the login
instructions.

•

Conduct high-level connectivity testing with a DTCC team member to ensure the connection is working in
the Test environment.

•

Complete application testing with test partners.

•

Activate membership, have the Test environment set-up mirrored in Production and start sendingtransactions in Production.

Application
Mainframe users interact with the application by sending and receiving files via the chosen protocol to the IP of
the service. HTTPS Browser user’s login to the DTCC Portal at https://portal.dtcc.com (internet) or
https://portal.dtcc.net (SMART), launch the AIP application and upload and download files.

Excel Macro
An Excel Macro is provided to create MRO or CSV files from an Excel spreadsheet. Users input data into the
Excel Macro, and it creates a properly formatted file, which is transmitted to the application. The Excel Macroand a separate user guide can be provided by the AIP team and is not detailed here.
Note:
While the Excel Macro is intended for HTTPS Browser users, mainframe users can also use it to create files, which would
be submitted via the chosen connectivity option with the required headers and trailers added.

Client Application
Please note that AIP does not provide software to support the implementation of AIP. The application will
receive input files and create output files but additional software for extracting, creating, or processing thesefiles on client systems is not provided.

Testing
Testing is strongly encouraged to ensure familiarity with the AIP application and Production readiness.
Companies should speak with their test partner(s) to coordinate test scenarios and review schedules andexpectations for Production data. Some trading partners will require testing.

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Contras/Counterparties
While all aspects of the AIP service are available for implementation, AIP members generally choose to
implement a subset of transactions. Please check with your contras/counterparties or a member of the AIPteam to verify which transactions they have implemented: Application Processing, Validation, and Rejects.

Processing Orders of Records
The AIP application processes transactions in a specific way, based on five groups and records, as detailed
below.
•

Each file received will be treated independently and each Record Type in the file will be associated with a
specific group.

•Groups are processed sequentially, e.g., Group 1 processing must be completed before Group 2
processing can start.

•

Record types in each group are processed in parallel, but any record type in the group tagged with“(Serial)” will be processed serially, but concurrently with the other record types in that group.

•

All files received from different submitters will be processed simultaneously because the record
dependency will not occur within the same cycle.

•

All files received from the same submitter within the same cycle could have record dependencies and will
be processed with a file and group dependent input process.

Group 1
061 – Security General (Serial)
Group 2062 – Security Announcement (Serial)
063 – Security Contact (Serial)
Group 3003 – Firm Acknowledgement of Fund Order004 – Firm Reject of Fund Order005 – Fund Acknowledgement of Firm Order006 – Fund Reject of Firm Order011 – Firm Order with Registration
012 – Fund Order with Registration
025 – Registration
026 – Registration Acknowledgement027 – Registration Reject030 – Payment

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031 – Payment Acknowledgement036 – Fund Acknowledgement of Prepaid Order037 – Fund Reject of Prepaid Order050 – Activity and Distribution
051 – Commission
052 – Position
053 – Account Maintenance054 – Activity Acknowledgement055 - Activity Reject057 – Account Maintenance Acknowledgement058 – Account Maintenance Reject
060 – Valuation
064 – Security Profile Request
065 – Security Profile Request Acknowledgement066 – Security Profile Request Reject067 – Position Schedule Request
068 – Position Schedule Request Acknowledgement069 – Position Schedule Request Reject091 – Document Transfer Acknowledgement by Receiver092 – Document Transfer Reject by Receiver
094 – Electronic Documentation Acknowledgement by Fund095 – Electronic Documentation Reject by Fund
202 – Fund Account Transfer Acknowledgement
203 – Fund Reject of Account Transfer
204 – Firm Reject of Account Transfer
777 – Electronic Document Manifest
799 – Document Transfer Manifest
Group 4001 – Firm Order

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002 – Fund Order
007 – Confirmation (Serial)
008 – Correction (Serial)
009 – Firm Exit of Order010 – Fund Exit of Order015 – Firm Exchange
016 – Fund Exchange
018 – Fund Confirmation of Exchange
032 – Prepaid Firm Order038 – Firm Exit of Prepaid Order040 – Prepaid Order Confirmation (Serial)
041 – Prepaid Order Correction (Serial)
043 – Prepaid Firm Order with Registration
056 – Activity Confirmation
096 – Electronic Documentation Accepted by Fund
201 - Account Transfer
205 - Fund Exit of Account Transfer
206 - Firm Exit of Account Transfer
207 - Confirmation of Account Transfer (Serial)
208 - Correction of Account Transfer (Serial)
Group 5042 – Contract Note (Serial)

AIP Validation – Hard Rejects
AIP validates input data sequentially through the following four levels:•

Transmission Validation•

Input Data Format Validation•

Basic Rules Validation•

Business Rules Validation

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If invalid data is found at any level of validation, AIP stops at that level, rejects the record with the appropriate
error code and does not move to the next level. AIP can report up to 4 error codes per record. Reject codes
are listed in the Data Dictionary and are received via the AIP Records Output file. Records that are hard
rejected are not transmitted to the recipient. Hard rejects must be corrected and resubmitted to be received by
the recipient.

Transmission Validation
The input file transfer system, DataTrak/CDTS, validates the transmission header and trailer to ensure thehighest-level information about the file content is correct. If DataTrak/CDTS finds an error with thetransmission date, etc., it will reject the file with a description and the entire file will not be submitted to the AIP
system.

Input Data Format Validation
Input data format validation is the second level of validation in the AIP system, and it validates the basic formatof the input data such as length, data type (Alphanumeric, numeric, or alpha), date pattern (e.g., mmddyyyy)
and a predefined set of values for a particular field (e.g., the Originator Type field value should be either B or
F). If any of the field values are invalid, then AIP rejects the record and will not move to the next level.

Basic Rules Validation
Basic rules validation is the third level of validation where AIP checks to see if any necessary data is present.
The following fields are part of basic rules validation:•

NSCC Security Issue Number•

Security Issue Name•

Security Identifier•

Share ClassAIP verifies that the data in the fields above are valid in the AIP database. If any of the values don’t match thevalue in the AIP database, AIP rejects the record and will not move to next level.

Business Rules Validation
Business rules validation is the fourth and final level of validation, which verifies business rules anddependencies such as population optional/conditional fields when conditions require it. AIP locates any rulesthat are not matching and rejects the record.

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AIP Validation – Soft Reason Codes
In addition to hard rejects, AIP also transmits soft reason codes for records that are validated against the
Security Announcement. Soft reason codes are informational ‘rejects’ that do not stop processing but provide
additional information, which indicate that although the data passed the AIP hard edits, a particular field mayneed attention. An example of this is a purchase order submitted after the subscription period ended. AIP
would transmit the Order from the Firm to the Fund and include a soft reason code to the Fund only indicating
the Fund is closed for purchases; the Firm will not receive a soft reason code. Soft reason codes arecontained in the Data Dictionary and are received via the AIP Records Output file.
Note:
If there are both hard rejects and soft reason codes, the record will be back to the Firm with hard rejects only; soft reason
codes will not be included.

Firm-Fund Validation
In addition to AIP validation, for certain record types such as Orders, AIP Participants can reject records andspecify a reason for the reject. In cases of Firm-Fund rejects, a record was submitted and validated by AIP,
but the receiver chose to reject the order back to the submitter. For example, a submitter not populating an
optional field that the receiver requires. Firm-Fund rejects are contained in the Data Dictionary.

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AIP RECORDS
There are over 90 record types in the AIP service, all of which are specified in the Data Dictionary. All records
are assigned a three-digit identifier, such as the Security General Profile, which is designated as 061. The
Data Dictionary provides all of the field level information about each record and the Transaction Flows provide
process flow information about transactions.

RemindersReminders are records that alert Funds and Firms of a pending action that is required. Reminders are only
sent in the last cycle (C98) on valid AIP processing days. A table in the appendix outlines the rules forreminders across all transactions.

AIP Records

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APPENDIX
Acceptable CharactersStandard Characters
Used as permitted in numeric and alphanumeric fields.
STANDARD CHARACTERS
0 - Digit Zero

L - Latin Capital Letter L

g - Latin Small Letter G

1 - Digit One

M - Latin Capital Letter M

h - Latin Small Letter H

2 - Digit Two

N - Latin Capital Letter N

i - Latin Small Letter I

3 - Digit Three

O - Latin Capital Letter O

j - Latin Small Letter J

4 - Digit Four

P - Latin Capital Letter P

k - Latin Small Letter K

5 - Digit Five

Q - Latin Capital Letter Q

l - Latin Small Letter L

6 - Digit Six

R - Latin Capital Letter R

m - Latin Small Letter M

7 - Digit Seven

S - Latin Capital Letter S

n - Latin Small Letter N

8 - Digit Eight

T - Latin Capital Letter T

o - Latin Small Letter O

9 - Digit Nine

U - Latin Capital Letter U

p - Latin Small Letter P

A - Latin Capital Letter A

V - Latin Capital Letter V

q - Latin Small Letter Q

B - Latin Capital Letter B

W - Latin Capital Letter W

r - Latin Small Letter R

C - Latin Capital Letter C

X - Latin Capital Letter X

s - Latin Small Letter S

D - Latin Capital Letter D

Y - Latin Capital Letter Y

t - Latin Small Letter T

E - Latin Capital Letter E

Z - Latin Capital Letter Z

u - Latin Small Letter U

F - Latin Capital Letter F

a - Latin Small Letter A

v - Latin Small Letter V

G - Latin Capital Letter G

b - Latin Small Letter B

w - Latin Small Letter W

H - Latin Capital Letter H

c - Latin Small Letter C

x - Latin Small Letter X

I - Latin Capital Letter I

d - Latin Small Letter D

y - Latin Small Letter Y

J - Latin Capital Letter J

e - Latin Small Letter E

z - Latin Small Letter Z

K - Latin Capital Letter K

f - Latin Capital Letter F

Special Characters
Appendix22Implementation Guide

Used in addition to the Standard Characters in fields noted in the Data Dictionary as ‘Special charactersallowed’.
SPECIAL CHARACTERS! - Exclamation Mark? - Question Mark- - Hyphen-Minus" - Quotation Mark' – Apostrophe. - Full Stop

# - Number Sign

( - Left Parenthesis/ - Solidus$ - Dollar Sign

) - Right Parenthesis@ - Commercial At% - Percent Sign

* - Asterisk_ - Low Line& - Ampersand+ - Plus Sign

` - Grave Accent: - Colon, - Comma{ - Left Curly Bracket; - Semicolon[ - Left Square Bracket| - Vertical Line< - Less-Than Sign

\ - Reverse Solidus} - Right Curly Bracket= - Equals Sign

] - Right Square Bracket~ - Tilde> - Greater-Than Sign

^ - Circumflex Accent

State, Country, and Currency Codes
State Codes
STATE CODESBlue Sky States

Blue Sky State Codes

Armed Forces Americas

AA

Armed Forces Europe, Canada, Africa, Middle EastAE

AlaskaAK

AlabamaAL

Armed Forces PacificAP

Arkansas

AR

American Samoa

AS

Arizona

AZ

California

CA

Colorado

CO

Appendix23Implementation Guide

STATE CODES
Connecticut

CT

District of Columbia

DC

Delaware

DE

FloridaFL

Federated States of Micronesia

FM

Georgia

GA

Guam

GU

Hawaii

HI

Iowa

IA

Idaho

ID

IllinoisIL

IndianaIN

KansasKS

Kentucky

KY

Louisiana

LA

Massachusetts

MA

Maryland

MD

Maine

ME

Marshall Island

MH

MichiganMI

Minnesota

MN

MissouriMO

North Marianas

MP

MississippiMS

Montana

MT

North Carolina

NC

North Dakota

ND

Nebraska

NE

Appendix24Implementation Guide

STATE CODESNew HampshireNH

New Jersey

NJ

New Mexico

NM

NevadaNV

New York

NY

Ohio

OH

OklahomaOK

OregonOR

Pennsylvania

PA

Puerto Rico

PR

Palau

PW

Rhode Island

RI

South Carolina

SC

South DakotaSD

Tennessee

TN

Texas

TX

Utah

UT

Virginia

VA

Virgin Islands

VI

Vermont

VT

Washington

WA

Wisconsin

WIWest Virginia

WV

Wyoming

WY

Country Codes

Appendix25Implementation Guide

COUNTRY CODESCountry Name

ISO alpha-2

ISO alpha-3Afghanistan

AF

AFG

Åland Islands

AX

ALA

Albania

AL

ALB

Algeria (El Djazaïr)

DZ

DZA

American Samoa

AS

ASM

AndorraAD

AND

AngolaAO

AGO

Anguilla

AI

AIA

Antarctica

AQ

ATA

Antigua And Barbuda

AG

ATG

Argentina

AR

ARG

Armenia

AM

ARM

Aruba

AW

ABW

Australia

AU

AUS

AustriaAT

AUT

Azerbaijan

AZ

AZE

BahamasBS

BHS

Bahrain

BH

BHR

Bangladesh

BD

BGD

BarbadosBB

BRB

Belarus

BY

BLR

BelgiumBE

BEL

Belize

BZ

BLZ

Benin

BJ

BEN

BermudaBM

BMU

BhutanBT

BTN

BoliviaBO

BOL

Appendix26

Implementation Guide

COUNTRY CODES
Bonaire, St. Eustatius, And Saba

BQ

BES

Bosnia And Herzegovina

BA

BIH

Botswana

BW

BWA

Bouvet Island

BV

BVT

BrazilBR

BRA

British Indian Ocean Territory

IO

IOT

Brunei Darussalam

BN

BRN

Bulgaria

BG

BGR

Burkina Faso

BF

BFA

BurundiBI

BDI

Cambodia

KH

KHM

CameroonCM

CMR

CanadaCA

CAN

Cape Verde

CV

CPV

Cayman Islands

KY

CYM

Central African Republic

CF

CAF

Chad (Tchad)

TD

TCD

Chile

CL

CHL

China

CN

CHN

Christmas Island

CX

CXR

Cocos (Keeling) Islands

CC

CCK

Colombia

CO

COL

Comoros

KM

COM

Congo, Republic Of

CG

COG

Congo, The Democratic Republic Of The (Formerly Zaire)

CD

COD

Cook Islands

CK

COK

Costa Rica

CR

CRI

Côte D'Ivoire (Ivory Coast)

CI

CIV

Appendix27

Implementation Guide

COUNTRY CODES
Croatia (Hrvatska)

HR

HRV

Cuba

CU

CUB

Curaçao

CW

CUW

CyprusCY

CYPCzech Republic

CZ

CZE

Denmark

DK

DNK

Djibouti

DJ

DJI

DominicaDM

DMA

Dominican Republic

DO

DOM

Ecuador

EC

ECU

Egypt

EG

EGY

El Salvador

SV

SLV

Equatorial Guinea

GQ

GNQ

EritreaER

ERI

Estonia

EE

EST

EthiopiaET

ETH

Faeroe Islands

FO

FRO

Falkland Islands (Malvinas)

FK

FLK

Fiji

FJ

FJI

FinlandFI

FINFranceFR

FRA

French Guiana

GF

GUF

French Polynesia

PF

PYF

French Southern Territories

TF

ATF

Gabon

GA

GAB

Gambia, The

GM

GMB

GeorgiaGE

GEO

Germany (Deutschland)

DE

DEU

Appendix28

Implementation Guide

COUNTRY CODES
Ghana

GH

GHA

Gibraltar

GI

GIB

Great Britain (United Kingdom)

GB

GBR

GreeceGR

GRC

Greenland

GL

GRL

GrenadaGD

GRD

Guadeloupe

GP

GLP

Guam

GU

GUM

GuatemalaGT

GTM

Guernsey

GG

GGY

GuineaGN

GIN

Guinea-Bissau

GW

GNB

Guyana

GY

GUY

Haiti

HT

HTI

Heard Island And Mcdonald Islands

HM

HMD

Honduras

HN

HND

Hong Kong (Special Administrative Region Of China)

HK

HKG

Hungary

HU

HUN

Iceland

IS

ISL

India

IN

IND

Indonesia

ID

IDN

Iran (Islamic Republic Of Iran)

IR

IRN

Iraq

IQ

IRQ

IrelandIE

IRL

Isle Of Man

IM

IMN

Israel

IL

ISR

Italy

IT

ITA

JamaicaJM

JAM

Appendix29Implementation Guide

COUNTRY CODES
Japan

JP

JPN

JerseyJE

JEY

Jordan (Hashemite Kingdom Of Jordan)

JO

JOR

Kazakhstan

KZ

KAZ

Kenya

KE

KEN

Kiribati

KI

KIR

Korea (Democratic Peoples Republic Of [North] Korea)

KP

PRK

Korea (Republic Of [South] Korea)

KR

KOR

KuwaitKW

KWT

Kyrgyzstan

KG

KGZ

Lao People’s Democratic Republic

LA

LAO

Latvia

LV

LVA

Lebanon

LB

LBN

LesothoLS

LSO

LiberiaLR

LBR

Libya (Libyan Arab Jamahiriya)

LY

LBY

Liechtenstein (Fürstentum Liechtenstein)

LI

LIE

Lithuania

LT

LTU

Luxembourg

LU

LUX

Macao (Special Administrative Region Of China)

MO

MAC

Macedonia (Former Yugoslav Republic Of Macedonia)

MK

MKD

Madagascar

MG

MDG

MalawiMW

MWI

Malaysia

MY

MYS

Maldives

MV

MDV

Mali

ML

MLI

Malta

MT

MLT

Marshall Islands

MH

MHL

Appendix30

Implementation Guide

COUNTRY CODES
Martinique

MQ

MTQ

Mauritania

MR

MRT

Mauritius

MU

MUS

MayotteYT

MYT

MexicoMX

MEX

Micronesia (Federated States Of Micronesia)

FM

FSM

Moldova

MD

MDA

MonacoMCMCO

Mongolia

MN

MNG

Montenegro

ME

MNE

Montserrat

MS

MSR

MoroccoMA

MAR

Mozambique (Moçambique)

MZ

MOZ

Myanmar (Formerly Burma)

MM

MMR

Namibia

NA

NAM

Nauru

NR

NRU

Nepal

NP

NPL

Netherlands

NL

NLD

Netherlands Antilles (Obsolete)

AN

ANT

New Caledonia

NC

NCL

New Zealand

NZ

NZL

Nicaragua

NI

NIC

Niger

NE

NER

Nigeria

NG

NGA

Niue

NU

NIU

Norfolk Island

NF

NFK

Northern Mariana Islands

MP

MNP

NorwayNO

NORAppendix31Implementation Guide

COUNTRY CODES
Oman

OM

OMN

Pakistan

PK

PAK

Palau

PW

PLW

Palestinian Territories

PS

PSE

PanamaPA

PAN

Papua New Guinea

PG

PNG

Paraguay

PY

PRY

Peru

PE

PER

Philippines

PH

PHL

Pitcairn

PN

PCN

PolandPL

POL

PortugalPT

PRT

Puerto Rico

PR

PRI

Qatar

QA

QAT

RéunionRE

REU

RomaniaRO

ROU

Russian Federation

RU

RUS

RwandaRW

RWA

Saint Barthélemy

BL

BLM

Saint Helena

SH

SHN

Saint Kitts And Nevis

KN

KNA

Saint Lucia

LC

LCA

Saint Martin (French Portion)

MF

MAF

Saint Pierre And Miquelon

PM

SPM

Saint Vincent And The Grenadines

VC

VCT

Samoa (Formerly Western Samoa)

WS

WSM

San Marino (Republic Of)

SM

SMR

Sao Tome And Principe

ST

STP

Appendix32Implementation Guide

COUNTRY CODES
Saudi Arabia (Kingdom Of Saudi Arabia)

SA

SAU

SenegalSN

SEN

Serbia (Republic Of Serbia)

RS

SRB

Seychelles

SC

SYC

Sierra Leone

SL

SLE

Singapore

SG

SGP

Sint Maarten

SX

SXM

Slovakia (Slovak Republic)

SK

SVK

Slovenia

SI

SVN

Solomon Islands

SB

SLB

SomaliaSO

SOM

South Africa (Zuid Afrika)

ZA

ZAF

South Georgia And The South Sandwich Islands

GS

SGS

South Sudan

SS

SSD

Spain (España)

ES

ESP

Sri Lanka (Formerly Ceylon)

LK

LKA

Sudan

SD

SDN

Suriname

SR

SUR

Svalbard And Jan Mayen

SJ

SJM

Swaziland

SZ

SWZ

SwedenSE

SWE

Switzerland (Confederation Of Helvetia)

CH

CHE

Syrian Arab Republic

SY

SYR

Taiwan ("Chinese Taipei" For Ioc)

TW

TWN

Tajikistan

TJ

TJK

Tanzania

TZ

TZA

ThailandTH

THA

Timor-Leste (Formerly East Timor)

TL

TLS

Appendix33

Implementation Guide

COUNTRY CODES
Togo

TG

TGO

Tokelau

TK

TKL

Tonga

TO

TON

Trinidad And Tobago

TT

TTO

TunisiaTN

TUN

TurkeyTR

TUR

Turkmenistan

TM

TKM

Turks And Caicos Islands

TC

TCA

TuvaluTV

TUV

UgandaUG

UGA

UkraineUA

UKR

United Arab Emirates

AE

ARE

United Kingdom

GB

GBR

United States

US

USA

United States Minor Outlying Islands

UM

UMI

Uruguay

UY

URY

Uzbekistan

UZ

UZB

Vanuatu

VU

VUT

Vatican City (Holy See)

VA

VAT

Venezuela

VE

VEN

Viet Nam

VN

VNM

Virgin Islands, British

VG

VGB

Virgin Islands, U.S.

VI

VIR

Wallis And Futuna

WF

WLF

Western Sahara (Formerly Spanish Sahara)

EH

ESH

Yemen (Yemen Arab Republic)

YE

YEM

Zambia (Formerly Northern Rhodesia)

ZM

ZMB

Zimbabwe

ZW

ZWE

Appendix34

Implementation Guide

Currency Codes
CURRENCY CODES
Currency Name

Currency Codes

Andorran Peseta

ADP

AE Dirham

AED

Afghani

AFA

Lek

ALL

Armenian DramAMD

Netherlands Antillean Guild

ANG

New Kwanza

AON

Kwanza Reajustado

AOR

Argentine Peso

ARS

Shilling

ATS

Australian Dollar

AUD

Aruban Guilder

AWG

Azerbaijanian Manat

AZM

Dinar

BAD

Barbados Dollar

BBD

Taka

BDT

Belgian Franc

BEF

Lev

BGL

Bahraini Dinar

BHD

Burundi Franc

BIF

Bermudian Dollar

BMD

Brunei Dollar

BND

Boliviano

BOB

MVDol

BOV

Brazilian RealBRL

Appendix35

Implementation Guide

CURRENCY CODES
Bahamian Dollar

BSD

Ngultrum

BTN

Pula

BWP

Belarussian Ruble

BYB

Belize Dollar

BZD

Canadian Dollar

CAD

Swiss Franc

CHF

Unidades de Formento

CLF

Chilean Peso

CLP

Yuan Renminbi

CNY

Colombian Peso

COP

Costa Rican Colon

CRC

Cuban Peso

CUP

Cape Verde Escudo

CVE

Cyprus Pound

CYP

Czech Koruna

CZK

Deutsche MarkDEM

Djibouti Franc

DJF

Danish Krone

DKK

Dominican Peso

DOP

Algerian Dinar

DZD

Sucre

ECS

Unidad de Valor Constante

ECV

Kroon

EEK

Egyptian Pound

EGP

Spanish Peseta

ESP

Ethiopian Birr

ETB

MarkkaFIM

Appendix36Implementation Guide

CURRENCY CODES
Fiji Dollar

FJD

Falkland Islands Pound

FKP

French FrancFRF

Pound Sterling

GBP

Lari

GEL

Cedi

GHC

Gibraltar Pound

GIP

Dalasi

GMD

Guinea Franc

GNF

Drachma

GRD

Quetzal

GTQ

Guinea-Bissau Peso

GWP

Guyana Dollar

GYD

Hong Kong Dollar

HKD

Lempira

HNL

Kuna

HRK

GourdeHTG

Forint

HUF

RupiahIDR

Irish Pound

IEP

ShekelILS

Indian Rupee

INR

Iraqi Dinar

IQD

Iranian Rial

IRR

Iceland Krona

ISK

Italian Lira

ITL

Jamaican Dollar

JMD

Jordanian Dinar

JOD

Appendix37Implementation Guide

CURRENCY CODES
Yen

JPY

Kenyan Shilling

KES

Som

KGS

Riel

KHR

Comoro Franc

KMF

North Korean Won

KPW

Won

KRW

Kuwaiti Dinar

KWD

Cayman Islands Dollar

KYD

Tenge

KZT

Kip

LAK

Lebanese PoundLBP

Sri Lanka Rupee

LKR

Liberian Dollar

LRD

Loti

LSL

Lithuanian Litas

LTL

Luxembourg Franc

LUF

Latvian Lats

LVL

Libyan Dinar

LYD

Moroccan Dirham

MAD

Moldovan Leu

MDLMalagasy Franc

MGF

Denar

MKD

Kyat

MMK

TugrikMNTPatacaMOP

Ouguiya

MRO

Maltese Lira

MTL

Appendix38Implementation Guide

CURRENCY CODES
Mauritius Rupee

MUR

Rufiyaa

MVR

Kwacha

MWK

Mexican Nuevo Peso

MXN

Malaysian Ringgit

MYR

MeticalMZM

Namibia Dollar

NAD

Naira

NGN

Cordoba Oro

NIONetherlands Guilder

NLG

Norwegian Krone

NOK

Nepalese RupeeNPR

New Zealand Dollar

NZD

Rial Omani

OMR

BalboaPAB

Nuevo Sol

PEN

Kina

PGK

Philippine Peso

PHP

Pakistan Rupee

PKR

Zloty

PLN

Zloty

PLZ

Portuguese Escudo

PTE

Guarani

PYG

Qatari Rial

QAR

Leu

ROL

Russian Ruble

RUR

Rwanda Franc

RWF

Saudi Riyal

SAR

Appendix39

Implementation Guide

CURRENCY CODES
Solomon Islands Dollar

SBD

Seychelles Rupee

SCR

Sudanese Dinar

SDD

Swedish Krona

SEK

Singapore Dollar

SGD

St. Helena Pound

SHP

Tolar

SIT

Slovak Koruna

SKK

Leone

SLL

Somali Shilling

SOS

Surinam Guilder

SRG

Dobra

STD

El Salvador Colon

SVC

Syrian Pound

SYP

Lilangeni

SZL

Baht

THB

Tajik Ruble

TJR

Manat

TMM

Tunisian Dollar

TND

Pa'angaTOP

Timor Escudo

TPE

Turkish Lira

TRL

Andorran PeEURseta

EUR

Euro

XEU

Trinidad and Tobago Dollar

TTD

New Taiwan Dollar

TWD

Tanzanian Shilling

TZS

HryvnaUAG

Appendix40Implementation Guide

CURRENCY CODES
Karbovanets

UAK

Uganda Shilling

UGX

US Dollar

USD

Peso Uruguayo

UYU

Uzbekistan Sum

UZSBolivar

VEB

Dong

VND

Vatu

VUV

Tala

WST

CFA Franc BEAC

XAF

East Caribbean Dollar

XCD

CFA Franc BCEAOXOF

CFP Franc

XPF

Yemeni RialYER

New Dinar

YUM

Financial Rand

ZAL

Rand

ZAR

KwachaZMK

New Zaire

ZRN

Zimbabwe Dollar

ZWD

Appendix41

Implementation Guide

Reminders
REMINDER RULES
If no
response,transaction
is closed 2

Input item

Item for which
Reminder iscreatedAdditional
Condition

Reminderrecord typeDay whenreminderstartsFirm/Fund Order

Registration

Order
requiring
registration
received
beforeregistration

080

Order reception 15+1

Yes

Registration

Registration
Acknowledgement

081

Registration
reception + 1

15

Yes

Fund Order

Firm
Acknowledgement ofFund Order

082

Order reception 15+1

Yes

Firm Order

Fund
Acknowledgement ofFirm Order083

Order reception 15+1

Yes

Firm/Fund
Exchange

Fund Confirmation of
Exchange

084

Settlement day
– 10

9

Yes

Fund
Confirmation
Acknowledgementof Firm Order085

Settlement day
– 10

9

Yes

Firm
Confirmation
Acknowledgementof Fund Order085

Settlement day
– 10

9

Yes

Firm Registration

Number ofdays
Remindercreated 1

Firm Order

Registration
received
before Order086

Registration(Originated byFirm) reception
+1

15

Yes

Fund Registration Fund Order

Registration
received
before Order088

Registration
15(Originated by
Fund) reception
+1

Yes

100

Payment
reception + 1

Yes

Pending Payment Payment
Acknowledgement Acknowledgement

51Reminders will be sent for this number of days or until SD-2 (2 days before Settlement), whichever comes first2

Settling status set to 3. These items and Non-settling input items (Settling status = 0) are closed in the last cycle on the day before Settlement

Appendix42Implementation Guide

REMINDER RULES
Firm Prepaid
Order

Acknowledgement ofFirm Prepaid Orderfrom Fund

102

Prepaid Order
reception + 1

5

Yes

Prepaid Order
Confirmation from
Acknowledgement Fund

103

Prepaid OrderACK record
reception +1

5

Yes

Activity & Dist
from Fund

104

Activity & Dist
recordreception + 1

5

Yes

105

Activity & Dist
reception + 1

9

Yes

106

Requestreception + 1

5

No

Firm Ack to FUND

Activity & Dist
Confirmation
Acknowledgement
Security Profile
RequestFund Ack, Reject

Sec Profile
requestReceived

Payment Record

Prepaid Order

107

Payment
receive from
Firm to Fundreception + 1

5NoPrepaid Order
Confirmation

Contract Note108

Contract Note
Date – 10

9

No

Order
Confirmation

Contract Note108

Contract Note
Date – 10

9

Yes

Position Request

Fund Ack, Reject

109

Requestreception + 1

5

No

Subscription Offer
Announcement111

15 days prior to 15
Expiration

No

Tender Offer
Announcement112

15 days prior to 15
Expiration

No

Firm Account
MaintenanceAcknowledgement of
Account
Maintenance113

Account
Maintenance
+1

5

No

Fund Account
MaintenanceAcknowledgement of
Account
Maintenance113

Account
Maintenance
+1

5

No

Account
Registration

Account Transfer

114

Receipt of
Account
Registration

15

No

Appendix

Registration
Type = 2

43

Implementation Guide

REMINDER RULES
Account Transfer

3

Fund AccountTransfer
Acknowledgement

115

Fund Account
Account Transfer
Transfer
Confirmation
Acknowledgement(Process Flow
Indicator = 1)

(Process
116
Flow
Indicator = 1)

Account
Transfer
reception + 1

15 3

Yes

Transfer
Completion
Date – 994

Yes

Pending Account Transfer Acknowledgement will be sent for 15 days or Anticipated Transfer Completion Date, whichever comes first.

4

Pending Account Transfer Confirmation will start 9 AIP business days before Transfer Completion Date unless the Transfer Completion Date is shorter than 9days then it will start immediately.

Appendix44Implementation Guide

DATATRAK CONFIRM REJECTS/WARNINGSDATATRAK CONFIRM REJECTS/WARNINGS
Warning/Reject Message

Explanation

Missing Header Record

All incoming files require a Data-Trak
This file will not be processed. You mustheader record. This header record acts resubmit the file with the appropriate header
as control for the entire process. It
record.
identifies the data being submitted.

Header Fields Incorrect

An error has been found with therecord layout of your DataTrak header
record.

No SYSID Match on Pre-Edit

The System Identifier (SYSID) was not This file will not be processed. Verify and correct
recognized by DATATRAK.
the SYSID and resubmit the file.

Input Date Does Not Match
Today’s Date

You have submitted a file with an
This file will not be processed until you contact
incorrect date in your DataTrak header AIP Support to have the file accepted manually.
record.
However, if the reject is caused by the DataTrak
pre-edit not being current then the reject would
be overridden and taken in

Record Length from JCL Does Not
Agree with Pre-Edit File

You have submitted a file with anincorrect record length.

This file will not be processed. Contact AIP
Support for further instructions.

Block Size of Input Does Not Agree You have submitted a file with an
With Pre-Edit File
incorrect block size.

This file will not be processed. Contact AIP
Support for further instructions.

Input Record Failed Pre-Edit or
Literal Check

The structural validation of the file by
DataTrak has found format errors inyour data.

This file will not be processed. Please verify file’s
record layout (formats.nscc.com). You mustcorrect the error(s) and resubmit the file.

Prior Submission and Dupe Input

Your firm has already submitted (andDataTrak has accepted) the same
number of data records under thisSYSID today.

This file will not be processed until you contact
AIP Support and verify that the second file is nota duplicate of the first file. If you advise AIP
Support to process the file, they will do so. If you
determine that the file is a duplicate of an earlier
file, they will exclude it from processing.

Limit Error: 15 or More Broker
Numbers Not on Expected Master

Service Bureaus only. There is at least This file will not be processed until you resubmit
one broker number in the data that is
the file with valid broker numbers that have been
not recognized by DataTrak and lessapproved for this Service Bureau by NSCC.
than 15 records affected.

REJ Input NeededYour input file lacks input data records. DataTrak has been set up to require input datafrom your firm. Contact AIP Support and confirm
if you actually have no data to send.

End Exp Different Than Header

The End Record (DataTrak Trailer
Record) has different information thanthe Header Record.

This file will not be processed until you contact
AIP Support to have the

End No End FoundNo End Record was found.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

DataTrak Confirm Rejects/Warnings

Impact & Solution

This file will not be processed. You must
resubmit the file with a corrected header record.

45

Implementation Guide

DATATRAK CONFIRM REJECTS/WARNINGSEnd Not Exp Different From
Header

An End Record was found, but not
expected, and it is different from the
Header Record.

Rej-Fixed Exp; Var Actual

DataTrak expected a fixed-format input This file will not be processed. You must
file, but the input file sent was actually resubmit the file with a fixed format.
in variable format.

Rej-Var Exp; Fixed Actual

DataTrak expected a variable-format
input file, but the input file sent was
actually in fixed format.

Rej-Fix Exp; Var* Missing

DataTrak expected a fixed-format input This file will not be processed. You must
file, but the input file sent was actually resubmit the file with a fixed format.
in variable format, and the Header
Record did not contain “*” in column 65
as required for variable files.

Rej-Var Exp; Var * Missing

DataTrak expected a variable-format
input file, but the Header Record did
not contain “*” in column 65, as
required for variable files.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

This file will not be processed. You must
resubmit the file with a variable length format.

This file will not be processed. You must
resubmit the file with the required “*” in column
65.

Broker No. in Detail Record Not on Service Bureaus only. You haveThis file will not be processed until you resubmit
submitted for a broker that is not on our the file with valid broker numbers that have been
Expected Master
expected master file.
approved for this Service Bureau by NSCC.
Prior Submission and Possible
Dupe Input

You are set-up to send in one file aThis file will not be processed until you contact
day. Your firm has already submitted
AIP Support to have the file accepted manuallydata for this SYSID today. The first filesent was accepted for processing. The
number of records in the second filedoes not match the first.

Prior Submission

You are set-up to send in one file aday. DataTrak has already received atransmission from your firm for thisSYSID today, but it was rejected.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Broker No. in Detail Record Invalid

One or more FIELDS in the detailrecords is invalid (for example: nonnumeric). The file may be accepted,
but these records will not process
successfully.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

End Not on Expected Master

DataTrak has found, but is not
This file will not be processed until you contact
expecting, and End Record in your file. AIP Support to have the file accepted manually.

End Not Last Record in Batch

You submitted a file where the end
record was not the last record in the
file.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Reject- batch not numeric

You have submitted a file with a nonnumeric multi-batch indicator.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Reject – batch received after lbi

You submitted a file after a last batch
This file will not be processed until you contact
indictor was received in a previous file. AIP Support to have the file accepted manually.

DataTrak Confirm Rejects/Warnings

46

Implementation Guide

DATATRAK CONFIRM REJECTS/WARNINGS
Reject – batch number too low

You submitted a file with batch
indicator # less than your previous file.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Reject - batch number too highYou submitted a file with a batch
indicator # greater than the number
expected.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Reject – Last batch sequence error Your file contained a character in theLast Batch Indicator field in your
DataTrak Header Record (column 60)
which was neither an “N” nor “Y”.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Reject – Broker count mismatch

You submitted a file with an end record This file will not be processed until you contactthat does not equal the total number of AIP Support to have the file accepted manually.
records submitted

No match on expected masterfile
for header

You are not set-up on the DataTrak
masterfile to submit a file under thisSYSID.

Detail input record failed pre-editcheck

You submitted a file that does not meet This file will not be processed. Contact AIP
the DataTrak pre-edit verification
Support for further instructions.
criteria.

This file will not be processed. Contact AIP
Support for further instructions.

Header record on active input file – You have submitted a file with a record This file will not be processed. Contact AIP
Cannot assume record length of 80 length that does not match with our
Support for further instructions.
pre-edit filePre-edit process date not numericchange file and re-submit

You submitted a file with a processing This file will not be processed. Contact AIP
date on your DataTrak header that was Support for further instructions.
nonnumeric.

Input has no records

You were not set-up on the DataTrak
masterfile to submit a file for thisSYSID with zero records.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

Skipped batch, expected batch
nnn, next batch should be nnn

You have submitted a file with a
DataTrak batch number sequenceerror.

This file will not be processed until you contact
AIP Support to have the file accepted manually.

End record count submitted bybroker mismatch

DataTrak has detected a possible
record count out of balance with yourfile.

This file will not be processed. Contact AIP
Support for

8 digits header date but indicator is Your file was set-up for a 6-digit header This file will not be processed until you contact
nodate and the file contained an 8-digit
AIP Support to have the file accepted manually.
header date.

DataTrak Confirm Rejects/Warnings

47

Implementation Guide

FILE TYPE BLOCKING GROUPINGGroup ID

Group Description

Record type

Record type Description

061

Security General

062

Security Announcement

063

Security Contact

001

Order

001

Firm Order

001

Order

002

Fund Order

001

Order

003

Firm Acknowledgement of Fund Order

001

Order

004

Firm Reject of Fund Order

001

Order

005

Fund Acknowledgement of Firm Order

001

Order

006

Fund Reject of Firm Order

001

Order

007

Confirmation

001

Order

008

Correction

001

Order

009

Firm Exit of Order

001

Order

010

Fund Exit of Order

001

Order

011

Firm Order with Registration

001

Order

012

Fund Order with Registration

001

Order

025

Registration

001

Order

026

Registration Acknowledgement

001

Order

027

Registration Reject

001

Order

030

Payment

001

Order

031

Payment Acknowledgement

001

Order

032

Prepaid Firm Order

001

Order

036

Fund Acknowledgement of Prepaid Order

001

Order

037

Fund Reject of Prepaid Order

001

Order

038

Firm Exit of Prepaid Order

001

Order

040

Prepaid Order Confirmation

001

Order

041

Prepaid Order Correction

File Type Blocking Grouping48

Implementation Guide

Group ID

Group Description

Record type

Record type Description

001

Order

042

Contract Note

001

Order

043

Prepaid Firm Order with Registration

002

Exchange

015

Firm Exchange

002

Exchange

016

Fund Exchange

002

Exchange

018

Fund Confirmation of Exchange

003

Documentation

091

Document Transfer Acknowledgement by Recipient

003

Documentation

092

Document Transfer Reject by Recipient

003

Documentation

094

Electronic Documentation Acknowledgement by Fund

003

Documentation

095

Electronic Documentation Reject by Fund

003

Documentation

096

Electronic Documentation Accepted by Fund

003

Documentation

777

Electronic Document Manifest

003

Documentation

799

Document Transfer Manifest

004

Valuation

060

Valuation

005

Activity

050

Activity and Distribution

005

Activity

054

Activity Acknowledgement

005

Activity

055

Activity Reject005

Activity

056

Activity Confirmation

006

Commission

051

Commission

007

Position

052

Position

007

Position

067

Position Schedule Request

007

Position

068

Position Schedule Request Acknowledgement

007

Position

069

Position Schedule Request Reject008

Account Maintenance053

Account Maintenance008

Account Maintenance057

Account Maintenance Acknowledgement008

Account Maintenance058

Account Maintenance Reject009

Security Profile Request

064

Security Profile Request

009

Security Profile Request

065

Security Profile Request Acknowledgement009

Security Profile Request

066

Security Profile Request Reject

File Type Blocking Grouping49

Implementation Guide

Group ID

Group Description

Record type

Record type Description

010

Account Transfer

201

Account Transfer

010

Account Transfer

202

Fund Account Transfer Acknowledgement010

Account Transfer

203

Fund Reject of Account Transfer

010

Account Transfer

204

Firm Reject of Account Transfer

010

Account Transfer

205

Fund Exit of Account Transfer

010

Account Transfer

206

Firm Exit of Account Transfer

010

Account Transfer

207

Confirmation of Account Transfer

010

Account Transfer

208

Correction of Account Transfer

File Type Blocking Grouping50

© 2024 DTCC. All rights reserved. DTCC and DTCC (Stylized) are registered and unregistered trademarks of The
Depository Trust & Clearing Corporation.
The services described herein are provided under the “DTCC” brand name by certain affiliates of The Depository Trust &Clearing Corporation (“DTCC”). DTCC itself does not provide such services. Each of these affiliates is a separate legal
entity, subject to the laws and regulations of the particular country or countries in which such entity operates. Please see
www.dtcc.com for more information on DTCC, its affiliates and the services they offer.

Doc Date: January 8, 2024
Publication Code: AIP112
Service: Alternative Investment Products
Title: Implementation Guide

For More Information
Visit us on the web at:www.dtcc.com/aip