Asset Services

Welcome! The Asset Services section of the DTCC Learning Center is where you will find the resources you need to maximize your use of DTCC’s Asset Services offerings. Use Infographics like the one below, Quick Links, Recommended Resources, the Resources tab, and Search to make your learning journey a rewarding one. Remember to login to see all available content.

The Asset Services Learning Center is dedicated to helping you get the most from DTCC's Underwriting Services, Securities Processing solutions (such as Custody) and other Asset Services such as Corporate Actions Processing, Global Tax Services and Issuer Services. You'll also find Agent Services resources to assist FAST Agents in the Asset Services Learning Center.

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Hover over products and services in the image below to learn more.

The Resources tabs in the Asset Services section of this Learning Center provide access to all learning resources (documents, videos, etc.) available for a service and its sub-products. For a view pre-filtered to show learning resources specific to a product, view the Resources tab for that product.

DTC Loss Allocation Overview

DTC Loss Allocation Overview - Part 1 DTC Loss Allocation Overview - Part 2
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Click the image above to view Part 1 Click the image above to watch Part 2
Learn about DTC's Loss Allocation practices and how they would be applied in the event of (hypothetical) single-or-multiple-Participant default or Non-Default Loss events by watching Parts 1 and 2 of the DTC Loss Allocation Overview eLearning, also available via the Resources tab at the top of this page.

 

Underwriting is the entry point for depository and book-entry transfer services at The Depository Trust Company (DTC). UW Source is the system that gives you access to Underwriting functions. The Underwriting Central (UWC) application integrates data validation, electronic vaulting, and e-signatures to create a better experience for brokers and issuers. It improves upon UW Source with a more streamlined user interface, fewer operational touch-points, improved data quality, and added transparency into the DTC eligibility life cycle.
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Through its suite of Securities Processing services The Depository Trust Company (DTC) provides its participant firms a range of safekeeping and processing services for various types of securities. Securities Processing services deliver efficient and cost-effective solutions for deposits, withdrawals, electronic direct registration and custody.
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The Corporate Actions Processing section contains learning resources about the Depository Trust Company's (DTC) wide array of services for processing corporate action events for approximately 1.3 million active DTC-eligible securities. These services include announcing details of upcoming events and providing participants with information about their entitlements, accepting and acting on their instructions, and collecting, allocating, and reporting payments across various corporate action event types, including distributions, redemptions, and reorganizations. Click the View Section link below to learn more about these event types as well as ClaimConnect, CA Web and ISO 20022 Messaging.
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DTC's Issuer Services provide an array of central communication and information resources for depository-eligible securities that facilitate outreach by issuers to shareholders. Through its efficient, cost-effective and risk-mitigating offerings, Issuer Services help achieve timely and accurate communication among interested parties with respect to securities held and serviced at DTC.
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Global Tax Services offers a variety of services for both domestic and international clients including services to provide tax relief on non-U.S. securities, withholding tax services on U.S.-sourced income paid to non-U.S. institutions and a tax reporting data service. Tax Service offerings include DTC TaxRelief, U.S. Tax Withholding Service, Domestic Tax Reporting Service (DTax), DTCC’s 305(c) Tax Event Announcements, and DTCC’s 871(m) Tax Event Announcements. Be sure you are logged in to your Learning Center user account to view all of the available information in the Global Tax Services section.
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The Agent Services section of this Learning Center facilitates communication with the agent community by providing information and reference documentation that is necessary to interact with The Depository Trust Company (DTC). It offers resources for FAST Agents, assumes you have familiarized yourself with the relevant information available on DTCC.com and are either ready to apply for FAST Agent membership or are already a FAST Agent and are seeking resources to assist you in that function. In the latter case, be sure to check out the Featured Content links to the right. Be sure you are logged in to your Learning Center user account to view all of the available information in the Agent Services section.
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Overview of Securities Processing - Withdrawals

This course provides learners a working understanding of how securities processing is accomplished through DTCC's Depository Trust Company subsidiary with a focus on Withdrawals. In this live training session, you will learn about DTC’s Withdrawal Service and how the withdrawal process works. This session also aims to enable you to compare and contrast types of withdrawals and their corresponding lifecycles, understand the Direct Mail Service and identify withdrawal activities and position impact.
June 12, 2024 10:30 am ()
Duration: 1 hour 30 minutes
Webinar

Overview of Securities Processing - Deposits

This course provides learners a working understanding of how securities processing is accomplished through DTCC's Depository Trust Company subsidiary with  focus on Deposits. Through this session, you will gain an understanding of the various DTC Deposit Services available to its members and identify which is appropriate to use for each deposit type. This session will illustrate the lifecycles of each deposit type as well as provide tips on how to avoid deposit rejects.
June 11, 2024 10:30 am ()
Duration: 1 hour 30 minutes
Webinar

Issuer Agent Portal - Submitting Transfer Agent 17Ad-16 Notices

Learn how to submit Transfer Agent 17Ad-16 Notices to the Issuer Agent Portal.
Modified May 22, 2024

Securities Processing Participant Help

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Issuer Agent Portal - Submitting Legal and Tax Notices

Learn how to submit Legal and Tax Notices to the Issuer Agent Portal.
Modified May 10, 2024

Underwriting Central (UWC) Quick Guide (MMI)

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Underwriting Frequently Asked Questions

Download this resource for answers to frequently asked questions about: Closing (New) Issues Chills Denomination Changes Eligibility IPO Tracking ILOR MMI's UW SOURCE and more.
April 15, 2024

LENS Help

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CA Web Help

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Securities Processing Agent Help

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Asset Services: RTPOUT (9.10) Interactive Reorganization Tenders Processing (DTC to Agents)

This function allows Participants and Issuing Agents to receive confirmation messages and Back End Rejects for Tender Voluntary Offering instructions, Protects and Cover Protect instructions sent to DTC.
February 08, 2024

Asset Services: Voluntary Offering Instructions/Agent's Tender Offers Recap Report (ATO) - Function User's Guide

This user guide gives information about DTC’s Voluntary Offering (ATO) function.
February 08, 2024

Asset Services: Reorganization Deposits Entitlement

This document describes DTC's Reorganization Deposits Mandatory Entitlements function.
February 08, 2024

Asset Services: RDCERT (9.15): Partial Redemption Information Records

This document describes the Partial Redemption Information Records functions.
February 08, 2024

Asset Services: IVP1/5 (16.04): Investors Voluntary Redemption and Sales System Version 1.0

This function allows participants to send Investors Voluntary Redemption and Sale instructions to DTC.
February 08, 2024

Asset Services: Electronic Call Notification User Guide (ECN1 and ECN5)

This document describes the Electronic Call Notification functionality (ECN1 and ECN5).
February 08, 2024

Asset Services: Dividend Prebalancing Payment Details (PBL1 and PBL5)

This document describes the Dividend Prebalancing Payment Details (PBL1 and PBL5) function.
February 08, 2024

Asset Services: Security Position Listings (OSOLPR)

This document gives information about the Security Positions Listing function.
February 08, 2024

Asset Services: Change in Mode of Payment (OCMOPA )

This document describes the OCMOPA function used for transmission of DTC's Change In Mode of Payment.
February 08, 2024

Asset Services: Elective Dividend Service (DTFEDS) Function User’s Guide 

This document describes the "Elective Dividend System Notices" (DTFEDS) function. This function enables all DTC Participants to access information concerning elective dividend notices via FTP or NDM in a machine readable format.
February 08, 2024

Asset Services: DTFCA (9.08): Conversion Announcement System

This document gives information about the Conversion Announcement System (DTFCA).
February 08, 2024

DTC Loss Allocation Overview - Part 1

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DTC Loss Allocation Overview - Part 2

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LIBOR Replacement Index File

View the LIBOR Replacement Index File Specification; AutoRoute Production 05213676; PSE 05983676 Type: AutoRoute Output
April 06, 2023
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