Adding a Profile

The Add Profile functionality is available to the Broker Manager and Broker User (Maker) user roles.

To add a profile from the Document Management page, select the check box on the appropriate row and click Manage Profiles.

Notes

You cannot replace a disclosure document, but you can modify the metadata for a document:

  • Deactivate the document and replace the related profile with a new profile..
  • Deactivate the document and replace the related profile with a new profile.

Organizations using Maker/Checker capabilities have additional required steps when submitting profiles. When the Maker has completed updates for profiles, the Maker must submit the updated profiles in Draft, Rejected, Draft Deactivation, and Submitted for Draft Deactivation status to Submitted for Activation Approval or Submitted for Deactivation Approval for the Checker to review and approve.

 

To add a profile:

  1. From the Document Management page, select an existing document by clicking the check box for the appropriate row.
  2. Click Manage Profiles to open the Manage Profiles page.

  3. At the Manage Profiles page, create the profile using the fields in the Enrichment Criteria group box.

    Table 6  Manage Profiles Page Fields
    Fields and Buttons Description
    Broker Id Select a broker ID from the drop-down list. To apply the criteria across all of your broker ID numbers associated or linked to your sign-on ID, select All.
    Effective Date Enter the effective date. This is the first day or date that a trade can be enriched with a confirmation disclosure. The effective date must be greater than today.
    Asset Class You can select All asset classes or a specific asset class from the drop-down list. For a list of the security types contained in each TradeSuite ID asset class, see TradeSuite ID Asset Classes, Security Type Codes, Settlement Locations.For a list of the of the security types contained in each CTM asset class, see the Common Reference Data.
    Security Type Select a specific security type from the drop-down list. For a list of the security types contained in each TradeSuite ID asset class, see TradeSuite ID Asset Classes, Security Type Codes, Settlement Locations. For a list of the of the security types contained in each CTM asset class, see the Common Reference Data.
    Settlement Location

    Select a specific settlement location from the drop-down list.

    The most commonly-used location codes are:

    • ALL—All Settlement Locations (recommended)
    • DTC—Depository Trust Company
    • BRC—Broker Custody
    • FED—The Federal Reserve Bank
    • CDS—Canadian Depository for Securities, LTD
    • US—United States
    User Defined Code Select to define a unique disclosure code number for the profile. Then, enter the disclosure code. The code can only contain alpha characters (A through Z) and numbers (0 through 9). Maximum length is 16 characters. It is not case sensitive field. For example, the CTM service treats “ABC,” “abc,” and “aBc” as the same value.
    Document Details The fields in this section of the page display the details for the document selected on the Profile Management page. Use the Document Management function to edit this information.
  4. Click Add New Profile(s). If the data is not a duplicate of an existing profile, the new profile is added to the list at the lower portion of the page.

Notes

  • Profiles with a Draft status must be submitted before they are made active for CTM or TradeSuite ID enrichment.
  • If you are using Maker/Checker capabilities, the Maker uses the Submit Profiles button to submit profiles for the Checker to approve. The Checker cannot approve a profile until it is submitted for approval. An email message is sent to all Maker/Checkers to inform all users assigned to a given broker ID that there are profiles that require approval.