inSITE: Profile Enrichment Examples

All example profiles are defined for a given Broker Id and within a date range specified as Effective Date (start) and Deactivation Date (end or last day of use).

Note
For examples specific to asset class enrichment, they are enriched for security types defined within that asset class. For more information, see the TypeOfFinancialInstrument table in the CTM Technical Resources.

Click the icons to expand, collapse, and print the content on this page.

 

 

Example of One Disclosure for all Trades

The Table 1 profile enriches all trades (for Broker Id 01835 OMGOUS33), with a Trade Date equal to and any day after 02/21/2015. Trades with a Trade Date before 02/21/2015 are not enriched.

Table 1  One Disclosure for all Trades
# Disclosure Reference # Broker Id Asset Class Security Type Settlement Location Effective Date Deactivated Date
1 DF23TH1A 01835OMGOUS33 All   All 02/21/2015 12/31/9999

The profile in Table 2 enriches fixed income trades (for Broker Id 01835 OMGOUS33), with a Trade Date equal to and any day after 02/21/2015. Trades with a Trade Date before 02/21/2015 are not enriched.

Table 2  One Disclosure for Some Trades
# Disclosure Reference # Broker Id Asset Class Security Type Settlement Location Effective Date Deactivated Date
1 DF23TH1A 01835OMGOUS33

FIXED INCOME

DBT-Debt

   All 02/21/2015 12/31/9999

The profiles in Table 3 for Broker Id 01835 OMGOUS33 become enriched as follows:

  1. All fixed income trades (except convertible bond), with a Trade Date equal to and any day after 02/21/2015 are enriched with Disclosure Reference Number DF23TH1A.
  2. All convertible bond trades with a Trade Date of 02/21/2015 through 7/10/2015 are enriched with Disclosure Reference Number DF23TH1A. A convertible bond is in the Asset Class of fixed income debt. Since the convertible bond profile was not in effect until 7/11/2015, convertible bond trades are enriched based on profile number 1.
  3. All equity trades with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number K58ZX8R2.
  4. All convertible bond trades with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number K58ZX8R2.

Trades not enriched with a Disclosure Reference Number include:

  • All mortgage backed securities
  • Any fixed income trade before 02/21/2015
  • Any equity trade before 07/11/2015
  • Any convertible bond trade before 02/21/2015
Table 3  Two Disclosure for Some Trades
# Disclosure Reference # Broker Id Asset Class Security Type Settlement Location Effective Date Deactivated Date
1 DF23TH1A 01835 OMGOUS33 FIXED INCOME DBT-Debt   All 02/21/2015 12/31/9999
2 K58ZX8R2 01835 OMGOUS33 EQUITIES EQT-Equity   All 7/11/2015 12/31/9999
3 K58ZX8R2 01835 OMGOUS33   CONVERTIBLE BOND COND-Convertible Bond (Debt) All 7/11/2015 12/31/9999

The profiles in Table 4 for Broker Id 96713 become enriched as follows:

  1. All fixed income trades (except repurchase agreements), with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number DF23TH1A. Repurchase trades are Security Type Finance Transaction and Collateral.
  2. All repurchase trades with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number K58ZX8R2.
  3. All other trades (not Fixed Income) with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number OTH87GBB. (Repurchase trades are in the fixed income Asset Class.)

Trades not enriched with a Disclosure Reference Number are any trades with a Trade Date before 07/11/2015.

Table 4  Three Disclosure for all Trades
# Disclosure Reference # Broker Id Asset Class Security Type Settlement Location Effective Date Deactivated Date
1 DF23TH1A 96713 FIXED INCOME   All 07/11/2015 12/31/9999
2 K58ZX8R2 96713   FINANCE TRANSACTION All 07/11/2015 12/31/9999
3 K58ZX8R2 96713   COLLATERAL All 07/11/2015 12/31/9999
4 OTH87GBB 96713 All   All 07/11/2015 12/31/9999

The profiles in Table 5 for Broker Id 01176 become enriched as follows:

  1. All trades with a User Defined Disclosure Code of A1 and with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number 18I4511X.
  2. All trades with a User Defined Disclosure Code of B2 or C3 and with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number 96FGHB11.
  3. All trades with a User Defined Disclosure Code of D4 and with a Trade Date equal to and any day after 07/11/2015 are enriched with Disclosure Reference Number 98YYG1Y8.

Trades not enriched with a User Defined Disclosure Code will not be enriched. A trade with a User Defined Disclosure Code other than A1, B2, C3, or D4 results in a trade error.

Table 5  Three Disclosure for all Trades
# Disclosure Reference # Broker Id User Defined Disclosure Code Effective Date Deactivated Date
1 18I4511X 01176 A1 07/11/2015 12/31/9999
2 96FGHB11 01176 B2 07/11/2015 12/31/9999
3 96FGHB11 01176 C3 07/11/2015 12/31/9999
4 98YYG1Y8 01176 D4 07/11/2015 12/31/9999