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ALERT®

Standard ALERT clients have direct access to the ALERT platform, through which they manage, maintain and communicate their SSIs with the rest of the ALERT community.

To free up valuable time and resources, buy-side clients can use the ALERT ASSIsT* program to leverage the DTCC to maintain their instructions within the ALERT platform, helping to streamline internal workflows/processes.

Sell-side broker/dealers can invite their manual buy-side clients to participate.

*This service is not available for existing ALERT clients. If you are an existing ALERT client and have questions about this, please contact your DTCC Relationship Manager.

 

Benefits of using ALERT ASSIsT

The benefits include:

  • Storage of SSIs utilizing an industry utility platform, complete with built-in validation rules driven by the industry
  • Communication of SSIs utilizing standardized message protocols enabling high volume straight through processing
  • Timely acknowledgement and transmission of SSI changes, leveraging source providers, custodians and prime brokers
  • Lower operational costs following a reduction in manual effort
  • Reduction in operational risk resulting in reduced manual effort
  • Less mismatches during the pre-matching process with a reduced risk of failed trades
  • Free service to buy-side, endorsed by the sell-side

 

Onboarding

The following diagram illustrates the full steps required to onboard onto the ASSIsT program. Hover over each step to learn more.

 

 

Buy-side FAQs


Please complete the registration form at www.dtcc.com/data-services/alert-assist-registration. Once submitted, a representative from the DTCC will contact you regarding the next steps.

If you have questions or would like to discuss this before completing the registration form, please contact This email address is being protected from spambots. You need JavaScript enabled to view it. and a member of our regional sales team will get back to you.

To complete the registration form, please follow the below guidance:

Field Name Comment
Company Legal Name This should be the parent-level Legal Entity Name
Company Name  This should be the affiliate/branch name. If the same as Company Legal Name, please duplicate this information
Company Number (or equivalent) Legal Entity Identifier (LEI)
Name of Your Broker/Referrer If you were referred to this service by a DTCC representative, please enter DTCC

Each entity that uses the ALERT platform is identified by an acronym. The acronym is used for both the storage of SSIs and account information (for both buy-side and sell-side) and for the permissioning of access (for the sell-side).

The Access Code is the identifier assigned to an account by the investment manager. It has a maximum length of 12 characters and can contain digits 0-9 and uppercase alphabetic characters A-Z.

We will complete our compliance checks and set up an acronym within 48 hours, meaning that we're ready to start loading data from this point. The length of time to load your data will depend on the number of accounts you have, if you want to leverage the existing SSIs of a custodian or prime broker and the timeliness in the communication of data and the provision of responses to DTCC queries. To discuss more specific timeframes based on your own data and circumstances, please speak to the ALERT ASSIsT team.

Any changes to SSI or account information and requests to permission broker access should be communicated to This email address is being protected from spambots. You need JavaScript enabled to view it.. These changes will be actioned by the DTCC within 24 hours of receipt.

Yes. In this case we will load the data of the custodian or prime broker into ALERT and maintain it on your behalf.

BBH JP Morgan
BNY  SSB
HSBC Sumitomo

In order to leverage the SSIs of a GC ALERT client, a bilateral agreement needs to be in place between the GC and you, as the ALERT ASSIsT client. You will need to contact your GC client service representative and request the authorization letter from the GC which will authorize the GC to update SSIs on your behalf. This letter will then need to be forwarded to the GC representative and they will forward this to their GC Onboarding team. The DTCC ASSIsT team will coordinate the linking of the accounts with the GC Onboarding team.

BOAMLBP - Bank of America Merrill Lynch  GSPB - Goldman Sachs International
CITIBP - Citigroup Global Markets Limited JPMPB - JP Morgan Clearing Corporation
CSPB - Credit Suisse Securities (USA) LLC MSIPB - Morgan Stanley & Co International PLC
DBIPB - Deustche Bank AG UBSPB - UBS AG London Branch

 

If you use one of the above prime brokers, then the DTCC will expect any SSI changes to be communicated by the prime broker. 

In order to leverage the SSIs of a prime broker, you will need to contact us and provide the name of the prime broker and your client service representative. You will also need to provide the fund names that will be linked to each prime broker and specify if your funds trade in segregated markets. We will then reach out to our prime broker contacts to determine if they recognize the funds and they will be required to determine which PB model to leverage for each requested fund. If the funds trade in segregated markets, we will reach out and coordinate with your prime broker client service representative to provide the SSIs for these markets. Once the models have been confirmed and segregated market SSIs have been provided, we will proceed with the linking of accounts to the PB model and upload segregated market SSIs for the accounts.

No. Once your instructions are in ALERT and live (i.e. your brokers have been permissioned) you should direct your brokers to view your information in ALERT, quoting your acronym. If your brokers are unable to see your information in ALERT, please obtain the acronym of your broker and send this to This email address is being protected from spambots. You need JavaScript enabled to view it. and request that they are permissioned access.

Yes. You can implement ALERT using a staggered approach, firstly onboarding through ASSIsT and then at a later stage we can move you to a standard ALERT contract.

ALERT ASSIsT is a free service for buy-side clients. A standard ALERT contract includes a monthly base-fee. For more information, please contact This email address is being protected from spambots. You need JavaScript enabled to view it. and a member of our regional sales team will get back to you.


The ALERT platform is the industry’s largest and most compliant online global database for the maintenance and communication of account and standing settlement instructions (SSI). The ALERT platform enables a community of investment managers, brokers/dealers and custodian banks to share accurate account and SSI automatically worldwide.

Documentation

 


Documentation covering features, functionality and best practices that apply across multiple Institutional Trade Processing services. See the Cross-Product section.

Guides outlining the functionality included in recent releases of the ALERT platform.  

 

ALERT Product Release Information

#NameDescriptionAdded On
1ALERT 5.9 Product Release InformationALERT 5.9 Product Release Information

Describes enhancements and defect fixes in the ALERT Web user interface and Open API Message Broker/Dealer specification in the March 2017 version 5.9 release.

Apr 03, 2018
2ALERT 5.11 Product Release InformationALERT 5.11 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.11 release.

Apr 04, 2018
3ALERT 5.12 Product Release InformationALERT 5.12 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.12 release, which is scheduled to go into the Client Test environment on March 15,2018, and into Production on March 24, 2018.

Mar 15, 2018
4ALERT 5.13 Product Release InformationALERT 5.13 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.13 release, which is scheduled to go into the Client Test environment on July 19, 2018, and into Production on July 28, 2018.

Aug 07, 2018
5ALERT Market Updates - January 2018ALERT Market Updates - January 2018

This document describes the market updates available on the ALERT platform in January 2018.

Jan 22, 2018
6ALERT 5.8 Product Release InformationALERT 5.8 Product Release Information

Describes new features, Market/Business Rules Changes, and defect fixed in the version 5.8 release.

Apr 03, 2018
7ALERT 5.0 Product Release InformationALERT 5.0 Product Release Information

Describes updates to the ALERT platform's web interface, the new global custodian direct interface, updates to the broker dealer direct interface, data search functionlality (formerly DART reports), BIA upload templates, market/business rules, and character set requirements.

Apr 03, 2018
8ALERT 5.1 Product Release InformationALERT 5.1 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface contained in the June 2015 Maintenance Release.

Apr 03, 2018
9ALERT 5.10 Product Release InformationALERT 5.10 Product Release Information

Describes new features and Market/Business Rules changes in the version 5.10 release of the ALERT platform.

Apr 03, 2018
10ALERT 5.2 Product Release InformationALERT 5.2 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface contained in the July 2015 Maintenance Release.

Apr 03, 2018
11ALERT 5.3  Product Release InformationALERT 5.3 Product Release Information

Describes planned enhancements/defect fixes/business rule changes to the ALERT platform's web user interface in the October 2015 Maintenance Release.

Apr 03, 2018
12ALERT 5.4  Product Release InformationALERT 5.4 Product Release Information

Describes enhancements to the ALERT Web user interface contained in the December 2015 Release.

Apr 03, 2018
13ALERT 5.5 Product Release InformationALERT 5.5 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Common Reference Data, and Market/Business Rules contained in the April 9, 2016 Release.

Apr 03, 2018
14ALERT 5.6 Product Release InformationALERT 5.6 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Common Reference Data, Market/Business Rules, and a description of the Open Application Program Interface (API) in the July 2016 release.

Apr 03, 2018
15ALERT 5.7 Product Release InformationALERT 5.7 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Collateral Code Support, and Market/Business Rules in the ALERT 5.7 release.

Apr 03, 2018

 

 Online help for the ALERT platform's web interface. This content is also available using context-sensitive links from within the application.

 

ALERT® Web and Online Help

#NameDescriptionAdded On
1ALERT Broker/Dealer Online HelpALERT Broker/Dealer Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Oct 02, 2018
2ALERT Global Custodian Online HelpALERT Global Custodian Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Oct 02, 2018
3ALERT Investment Manager Online HelpALERT Investment Manager Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Oct 01, 2018
4ALERT Regional Custodian Online HelpALERT Regional Custodian Online Help New!

The online help files describe use of the ALERT platform's web interface for Regional Custodian. The online help is also available using context-sensitive links in the ALERT web interface.

Oct 02, 2018
5ALERT for Trustee Online HelpALERT for Trustee Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Oct 02, 2018

Market-specific requirements/recommendations for populating global settlement instructions.  Available for those countries where specific data population practices have been mandated/recommended.

 

ALERT® Market/Business Rules

#NameDescriptionAdded On
1BNP Paribas Single Matching Identifier(SMI)  and ALERT SSIsBNP Paribas Single Matching Identifier(SMI) and ALERT SSIs

This document describes ALERT platform best practices for SSIs (with BNP Paribas as the custodian and sub-custodian) where SMIs are needed for matching.

May 02, 2018
2ALERT Market/Business RulesALERT Market/Business Rules New!

The Market/Business Rules describe ALERT platform market-specific best practices. This content is delivered in HTML5 format.

Oct 02, 2018
3ALERT Foreign Exchange Settlement InstructionsALERT Foreign Exchange Settlement Instructions New!

ALERT platform Market/Business Rules for Foreign Exchange (FX) settlement.

Oct 01, 2018
4ALERT Settlement Instructions and Validation RulesALERT Settlement Instructions and Validation Rules New!

Details the extensive rules validation for settlement instruction data intended for the ALERT database.

Oct 02, 2018
5ALERT-SWIFT MappingALERT-SWIFT Mapping

Describes how the ALERT platform fields for standard, foreign exchange, and cash settlement instructions map to SWIFT fields.

Mar 16, 2018

 

Documentation for implementing the ALERT Direct Broker/Dealer API.  Includes Programmer Guides, DTDs , and Message Specifications.        

ALERT® Broker/Dealer Direct

#NameDescriptionAdded On
1DTDs for the ALERT Direct Interface Version 4.1 for Broker/DealersDTDs for the ALERT Direct Interface Version 4.1 for Broker/Dealers

A zip file containing the DTDs for the ALERT Broker/Dealer Direct 4.1 Interface (Get_Method_by_Delivery9.dtd, Get_General_Account_Info_by_BIA9.dtd, Get_General_Info_by_Acronym_and_Access_Code9.dtd).

Mar 20, 2018
2ALERT 4.1 Broker/Dealer Direct Interface Conformance GuideALERT 4.1 Broker/Dealer Direct Interface Conformance Guide

Provides tests to validate your application's compatibility with the ALERT platform production environment.

May 11, 2018
3ALERT 4.1 XML Message Specification Broker/DealersALERT 4.1 XML Message Specification Broker/Dealers

Message specification that contains the messages, data dictionary, and error codes for a broker/dealer ALERT direct client interface.

Feb 28, 2018
4ALERT Platform Broker/Dealer Direct Interface 4.0 DTDsALERT Platform Broker/Dealer Direct Interface 4.0 DTDs

A zip file of the Data Type Descriptors (DTDs) in Production.

Feb 16, 2018
5ALERT Broker/Dealer Direct Interface Programmer's GuideALERT Broker/Dealer Direct Interface Programmer's Guide

Describes the steps for creating a broker/dealer direct client interface to the ALERT host.

Mar 21, 2018

 

Documentation describing the upload functionality available to ALERT Investment Managers and Global Custodians. Includes instructions and data format information.

 

ALERT® GC Direct

#NameDescriptionAdded On
1ALERT GC Direct 1.0 Interface: XSD FileALERT GC Direct 1.0 Interface: XSD File

XSD file for the ALERT GC Direct 1.0 interface.

Oct 02, 2017
2ALERT Global Custodian 1.0 Direct XML Message SpecificationALERT Global Custodian 1.0 Direct XML Message Specification

Contains the messages, data dictionary, and error codes for the ALERT Direct Global Custodian 1.0 client interface.

Aug 03, 2018
3ALERT Investment Manager’s Guide to GC Direct OnboardingALERT Investment Manager’s Guide to GC Direct Onboarding

This document focuses on GC Direct information and the onboarding steps required for investment managers to implement the ALERT GC Direct interface. It contains workflow diagrams for onboarding different implementation scenarios, as well as for ongoing monitoring.

May 02, 2018

General documentation related to the ALERT platform.  Includes system requirements, how-to guides, and usage guidelines.  

 

ALERT® Product Guide

#NameDescriptionAdded On
1ALERT and CTM Legal Identifier (LEI) Information Job AidALERT and CTM Legal Identifier (LEI) Information Job Aid

This document describes how to set up new LEI functionality in the ALERT platform and how the enriched information is reported in the CTM service.

May 02, 2018
2ALERT - Managing LEIs - Job AidALERT - Managing LEIs - Job Aid

This document describes how to use the ALERT platform Data Search report to help determine what access codes may need LEIs to comply with MiFID II.  

May 03, 2018
3ALERT Common Reference DataALERT Common Reference Data New!

Provides tables of values for certain fields used in the ALERT platform's Web and Direct interfaces and in the ALERT Plus module.

Sep 21, 2018
4ALERT Data Search ReportsALERT Data Search Reports

This document describes the contents of the ALERT platform Data Search files, their format, and how the fields map to the legacy DART fields.

Feb 28, 2018
5ALERT Settlement Instruction (SI) Scan Upload GuideALERT Settlement Instruction (SI) Scan Upload Guide

This document describes how to upload SI Scan files to the ALERT platform.

Feb 28, 2018
6ALERT SSI Utility Character Set SpecificationsALERT SSI Utility Character Set Specifications

Information on character sets permitted in all SSI Utility components: Broker Direct, Global Custodian Direct, and ALERT web interfaces.

Apr 03, 2017
7ALERT System RequirementsALERT System Requirements

Describes the certified hardware and software for the ALERT platform.

May 08, 2018
8ALERT Usage GuidelinesALERT Usage Guidelines

Lists responsibilities, standards, and guidelines for all users of the ALERT platform.

May 08, 2018

 

Message specifications that contain XML schema format message details and error codes for the ALERT open application program interface.             

 

ALERT® Open API

#NameDescriptionAdded On
1ALERT Open API 1.0  Message Specification - Broker/DealersALERT Open API 1.0 Message Specification - Broker/Dealers

Message Specification that contains the messages and error codes for the ALERT open application program interface (API) for broker/dealers.

Mar 28, 2018
2ALERT Open API  Message Specification 1.0 - Investment ManagersALERT Open API Message Specification 1.0 - Investment Managers

Investment Manager message specification for the ALERT Open API interface.

May 09, 2018
3ALERT Open API  Message Specification 1.0 -  VendorsALERT Open API Message Specification 1.0 - Vendors

Message Specification that contains the messages and error codes for the ALERT open application program interface (API) for vendors.

May 11, 2018

 

Documentation describing the upload functionality available to ALERT platform Investment Managers and Global Custodians. Includes instructions and data format information.  

 

ALERT® Plus

#NameDescriptionAdded On
1ALERT Plus Upload Guide for Global CustodiansALERT Plus Upload Guide for Global Custodians

Describes uploading ALERT Plus files to the ALERT platform (global custodians).

Mar 12, 2018
2ALERT Plus Guide for Investment ManagersALERT Plus Guide for Investment Managers

Describes uploading ALERT Plus module files to the ALERT platform (investment managers).

Apr 03, 2018

 

Guides that detail Trustee and Regional Custodian workflow management within the ALERT Web user interface. 

 

ALERT® for Trustee

#NameDescriptionAdded On
1ALERT for Regional Custodian Guide to GC Direct OnboardingALERT for Regional Custodian Guide to GC Direct Onboarding

This document focuses on GC Direct information, the onboarding steps required to implement GC Direct, and the SSI monitoring process for regional custodians.

May 01, 2018
2ALERT for Trustee Guide to GC Direct OnboardingALERT for Trustee Guide to GC Direct Onboarding

This document focuses on GC Direct information, the onboarding steps required to implement GC Direct, and the SSI monitoring process for trustees.

May 01, 2018

 


Videos

 


Playlist

ALERT Beginners Level Training

  • 1. ALERT Beginners Level Training
  • 2. ALERT: Managing Collateral SSIs
  • 3. ALERT: Get Started with ALERT® Plus file uploads
  • 4. ALERT: Understanding the Global Custodian Direct Conversion Process for Investment Managers
  • 5. ALERT for Investment Managers: Working with Global Custodians
  • 6. ALERT® Prime Broker / Hedge Fund Solution - Overview Webinar
  • 7. ALERT: How to Create an Account
  • 8. ALERT: How to Create an Account and Link to a GC Direct Acronym
  • 9. ALERT: How to Create an Account and Assign to a Trustee
  • 10. ALERT: How to create an account and assign to a Regional Custodian
  • 11. ALERT: How to Maintain SSIs for Separately Managed Accounts
  • 12. ALERT: How to Create a Broker List
  • 13. ALERT: How to Create a Model
  • 14. ALERT: How to Edit a Model
  • 15. ALERT: How to Delete a Model
  • 16. ALERT: How to Create Future Effective Model SSIs
  • 17. ALERT: Search and Download Account Data using Accounts View from the Utilities Menu
  • 18. ALERT: How to Generate and Access Reports
  • 19. ALERT: How to Manage invalid SSIs using SI Scan
  • 20. ALERT: How to Navigate the Homepage
  • 21. ALERT: Managing Data Authentication
  • 22. ALERT: How to Submit Items for Data Authentication
  • 23. ALERT: How to Approve or Authorize Items within Data Authentication
  • 24. ALERT: Market Best Practice Population Guidelines for DTC for Investment Managers
  • 25. ALERT: Market Best Practice Population Guidelines for FEDWIRE for Investment Managers
  • 26. Prepare for MiFID II's Expansion of Reporting Requirement of LEIs
 

Playlist

ALERT: Managing Collateral SSIs for Brokers

  • 1. ALERT: Managing Collateral SSIs for Brokers
  • 2. ALERT: How to Find Your Clients' Account SSIs
  • 3. ALERT: How to Search for Multiple Accounts and Access Codes
  • 4. ALERT: How to Filter Client Account SSIs
  • 5. ALERT: How to Create a Model
  • 6. ALERT: How to Edit a Model
  • 7. ALERT: How to Delete a Model
  • 8. ALERT: How to Create a BIA# or Cross Reference
  • 9. ALERT: How to Manage Alerts
  • 10. ALERT: View Alerts from Multiple Acronyms on the Alerts tab
  • 11. ALERT: How to Export Data
  • 12. ALERT: How to Generate and Access Reports
  • 13. ALERT: How to Manage Invalid SSIs using SI Scan
  • 14. ALERT: How to Navigate the Homepage
  • 15. ALERT: Managing Data Authentication
  • 16. ALERT: How to Submit Items for Data Authentication
  • 17. ALERT: How to Approve or Authorize Items within Data Authentication
  • 18. ALERT: Market Best Practice Population Guidelines for FEDWIRE for Brokers
  • 19. ALERT: Market Best Practice Population Guidelines for DTC for Brokers
  • 20. Prepare for MiFID II's Expansion of Reporting Requirement of LEIs
  • 21. ALERT: Understanding your Billing Structure

Playlist

ALERT: Getting Started with ALERT Plus for Global Custodians

  • 1. ALERT: Getting Started with ALERT Plus for Global Custodians
  • 2. ALERT® Prime Broker / Hedge Fund Solution - Overview Webinar