GTR CFTC/Canada/SEC (NoA) Ingestion Validation

After submission to the GTR, a message undergoes a quality assurance process, Ingestion Validation. Failure at any stage generates a NACK (Negative Acknowledgment) response message. An ACK (Acknowledgment) message indicates success.

Validation Checks

All messages pass through these four stages of checks before the data is entered into GTR.

• Schema Validation checks for data formatting
• Permission Validation checks for the authority to submit
• Core Validation checks for logic and completeness
• Regulatory Validation checks against CFTC, Canada, and SEC specifics.

Note

GTR processes messages in the order in which they are received.

 

Unique Product Identifier (UPI)

UPI is a Unique Product Identifier. It facilitates effective aggregation of over-the-counter (OTC) derivatives transaction reports globally. The UPI uniquely identifies the product involved in an OTC derivatives transaction that Regulators requires to be reported to GTR. ANNA DSB issues and controls all UPIs. Direct any UPI-related questions to ANNA DSB.