inSITE: Enrichment Rules

Profiles define enrichment rules to match trades to the appropriate disclosure document. The enrichment rules are as follows:

  1. Each trade should be associated with only one disclosure document. Though not recommended, it is possible to omit trade enrichment with a disclosure document.
  2. Enrichment is determined on a best-fit basis. The inSITE service compares only the profiles of the executing broker ID for the trade against a Trade Date within the Effective Date and Deactivated Date range:
    1. If a trade contains a User Defined Disclosure Code, a profile that matches this code must exist. Otherwise, a trade error or failure occurs in the CTM or TradeSuite ID service.
    2. If a trade does not contain a User Defined Disclosure Code, the inSITE service compares the trade details to the available profiles in the following order:
      • The Security Type and Settlement Location
      • The Security Type and All Settlement Locations (Settlement Location equal to All)
      • The Asset Class and Settlement Location
      • The Asset Class and All Settlement Locations
      • The All Asset Classes and All Settlement Locations (Asset Class equal to All and Settlement Location equal to All)
  3. Duplicate profiles are not allowed. Duplicates are profiles with the same enrichment criteria: Broker Id, (Asset Class/Settlement Location or Security Type/Settlement Location or User Defined Disclosure Code) and the Effective Date and Deactivated Date overlap another profile.
  4. The inSITE service uses the Effective Date and Deactivated Date to version disclosure documents. When you want to replace a profile for a document, you must set a Deactivation Date on the old profile and an Effective Date for the new profile. The Deactivation Date on the old profile must precede the Effective Date on the new profile.
  5. A profile does not require a Deactivation Date; it can be open or undefined until a replacement disclosure document is required. An unspecified Deactivation Date appears as 12/31/9999 on the inSITE user interface.

Additionally:

  • A profile of an Asset Class of All and a Settlement Location of All is a Profile definition that matches all trades provided that:
    • The Trade Date is within the Effective Date and Deactivation Date range.
    • The trade data does not specify a User Defined Disclosure Code. (The field is blank or null.)
  • A valid User Defined Disclosure Code contains only alphanumeric characters. Valid characters are the letters (a through z and A through Z), and numbers (0 through 9). All other characters are invalid.
  • A User Defined Disclosure Code is case insensitive. For example, the codes ABC, abc, and aBc are equal.
  • You cannot enter All for a profile based on Security Type. If you require a profile for all security types, you must specify All for the Asset Class. This restriction prevents a misunderstanding of which profile to use when a broker/ dealer specifies profiles for both all Asset Classes and all Security Types.