Asset Services Events

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MatchingSettlementAndAssetServicesThe Depository Trust Company (DTC), the central securities depository subsidiary of DTCC, provides settlement services for virtually all equity, corporate and municipal debt trades and Money Market Instruments in the U.S. Approximately 1.4 million settlement-related transactions per day, with a value of approximately $600 billion, are completed at DTC in an efficient and risk controlled process. 

The payment and transfer of securities ownership occurs at DTC, which provides custody and asset servicing for securities issues from 131 countries and territories valued at US$37.2 trillion. 

This portion of DTCC's Learning Center provides information on Corporate Actions, Custody, Dividend and Income Processing, Issuer Services, FAST, and Underwriting. 

 

Corporate Actions

The Depository Trust Company (DTC) offers a wide array of services for processing corporate action events for the approximately 3.5 million securities eligible at the depository. 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.

 

Custody

The Depository Trust Company’s (DTC’s) Custody Service enables participants to outsource the safekeeping and processing of physical securities that are not or cannot be held through DTC’s core depository services. Custody’s family of products includes the Branch Deposit Service, New York Window physical clearance and settlement services, Custody Reorganization and Restricted Deposit Services.

 

Dividend and Income Processing

DTC's Dividend services include announcing, collecting, allocating and reporting dividend, interest and certain principal payments on behalf of its participants with securities in DTC custody.

 

Issuer Services

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. 

 

Underwriting Services

Underwriting is the entry point for depository and book-entry transfer services at The Depository Trust Company (DTC). Services offered through the Underwriting group offer efficiencies in the capital markets and reduce risk to participants by automating and facilitating the distribution and settlement of new and secondary issues.

This is a recording of the Corporate Actions Transformation Industry Call that took place on February 7, 2017.

Category: Corporate Actions
Views: 16

This video shows you how to see your DTC Custody deposits, withdrawals, trailing documents, NY Window, and Transfer...

Category: Custody
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The Custody Service allows you to enter certificate information associated with a deposit in a variety of ways. This...

Category: Custody
Views: 4

This is a recording of the Corporate Actions Transformation Industry Call that took place on January 12, 2017.

Category: Corporate Actions
Views: 6

Category: Custody
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Category: Custody
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Category: Custody
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Category: Custody
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This video demonstrates how to look up eligible CUSIPs at DTC. Used in conjunction with the Custody Eligibility...

Category: Custody
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This is a recording of the Corporate Actions Transformation Industry Call that took place on November 17, 2016.

Category: Corporate Actions
Views: 5

This is a recording of the Corporate Actions Transformation Industry Call that took place on October 11, 2016.

Category: Corporate Actions
Views: 9

This is a recording of the Corporate Actions Transformation Industry Call that took place on January 14, 2015.

Category: Corporate Actions
Views: 3

This is a recording of the Corporate Actions Transformation Industry Call that took place on February 18, 2015.

Category: Corporate Actions
Views: 1

This is a recording of the Corporate Actions Transformation Industry Call that took place on March 23, 2015.

Category: Corporate Actions
Views: 0

This is a recording of the Corporate Actions Transformation Industry Call that took place on April 29, 2015.

Category: Corporate Actions
Views: 1

This is a recording of the Corporate Actions Transformation Industry Call that took place on June 17, 2015.

Category: Corporate Actions
Views: 0

This is a recording of the Corporate Actions Transformation Industry Call that took place on August 12, 2015.

Category: Corporate Actions
Views: 2

This is a recording of the Corporate Actions Transformation Industry Call that took place on October 21, 2015.

Category: Corporate Actions
Views: 2

This is a recording of the Corporate Actions Transformation Industry Call that took place on November 18, 2015.

Category: Corporate Actions
Views: 2

This is a recording of the Corporate Actions Transformation Industry Call that took place on December 16, 2015.

Category: Corporate Actions
Views: 0

This simulation spotlights UW Source's customization features for the issue grid of an offering.

Category: Underwriting Services
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This simulation spotlights UW Source's customization features on the security grid of an offering. 

Category: Underwriting Services
Views: 5

This simulation spotlights UW Source's customization features for the Offering Activity List and Offering List pages.

Category: Underwriting Services
Views: 7

This simulation demonstrates how to add an offering with a Municipal Insured sub issue type when an underlying...

Category: Underwriting Services
Views: 4

This simulation demonstrates how to add an offering with a municipal insured sub issue type into UW Source, including...

Category: Underwriting Services
Views: 4

This simulation demonstrates how to upload a spreadsheet you prepared into the UW Source system.

Category: Underwriting Services
Views: 9

This simulation demonstrates how to prepare the spreadsheet that is uploaded into the UW Source system.

Category: Underwriting Services
Views: 13

This simulation demonstrates how to perform five different searches within UW Source: Searching for offerings with a...

Category: Underwriting Services
Views: 3

This simulation covers the two ways in which a security can be copied in UW Source: when an issue is copied and when a...

Category: Underwriting Services
Views: 2

This simulation demonstrates the process for copying an issue in UW Source.

Category: Underwriting Services
Views: 3

This simulation demonstrates how to use UW Source to submit an offering to DTC after creating an offering and adding...

Category: Underwriting Services
Views: 14

This simulation demonstrates how to add a security after you have created an offering and added an issue in UW...

Category: Underwriting Services
Views: 9

This simulation demonstrates how to create an offering and add an issue in UW Source.

Category: Underwriting Services
Views: 16

This simulation demonstrates how to add an offering with a Unit Investment Trust (UIT) sub issue type to UW Source.

Category: Underwriting Services
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This simulation demonstrates how to add an offering with an equity unit sub issue type into UW Source.

Category: Underwriting Services
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This simulation demonstrates how to use UW Source to submit a corporate offering to DTC.

Category: Underwriting Services
Views: 7

This simulation demonstrates how to create a secondary corporate offering for two different scenarios in UW Source.

Category: Underwriting Services
Views: 7

This simulation demonstrates how to postpone an issue in UW Source, as well as how to reactivate an issue.

Category: Underwriting Services
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This simulation demonstrates how to postpone an offering.

Category: Underwriting Services
Views: 6

This simulation demonstrated how to modify a security and add the interest feature in UW Source.

Category: Underwriting Services
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This simulation demonstrates how to modify an offering activity in UW Source.

Category: Underwriting Services
Views: 3

This simulation demonstrates how to modify and delete an offering in UW Source.

Category: Underwriting Services
Views: 6

This simulation demonstrates how to add a security with a preferred stock issue sub type into UW Source.

Category: Underwriting Services
Views: 2

This simulation demonstrates how to add an issue with a preferred stock issue subtype into UW Source.

Category: Underwriting Services
Views: 9

This simulation demonstrates how to create a corporate offering activity in UW Source.

Category: Underwriting Services
Views: 13

This simulation demonstrates how to use the dashboard in UW Source.

Category: Underwriting Services
Views: 4

This simulation demonstrates how to add an issue with a certificate of deposit (CD) sub issue type.

Category: Underwriting Services
Views: 3

This simulation demonstrates how to add put option/put feature Information to a security.

Category: Underwriting Services
Views: 4

This simulation demonstrates how to copy a security for a corporate debt sub issue type.

Category: Underwriting Services
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This simulation demonstrates how to search and modify a draft offering activity for a corporate debt sub issue type.

Category: Underwriting Services
Views: 3

This simulation demonstrates how to submit an offer for a corporate debt sub issue type offering.

Category: Underwriting Services
Views: 8

This simulation demonstrates how to add a security to a corporate debt sub issue type.

Category: Underwriting Services
Views: 10

This simulation demonstrates how to add a security to a collateralized mortgage obligation (CMO) sub issue type.

Category: Underwriting Services
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This simulation demonstrates how to add a corporate bond sub issue type to create an offering.

Category: Underwriting Services
Views: 8

This simulation demonstrates how to add a collateralized mortgage obligation (CMO) sub Issue type to create an offering.

Category: Underwriting Services
Views: 5

This simulation demonstrates how to create a Draft Offering Activity for a corporate debt sub issue type for...

Category: Underwriting Services
Views: 17

This Webcast outlines parameters for voluntary corporate action events ("voluntaries"), diagrams the information flow...

Category: Corporate Actions
Views: 12

This Webcast outlines parameters for voluntary corporate action events ("voluntaries"), diagrams the information flow...

Category: Corporate Actions
Views: 10

This Webcast outlines parameters for mandatory corporate action events ("mandatories"), lists and defines important...

Category: Corporate Actions
Views: 3

This Webcast defines income collections and distributions. It also identifies the key contributors to the income...

Category: Corporate Actions
Views: 9

Learn how to use Omgeo ALERT Plus to upload and maintain model data and edit account specific data. 

Category: Omgeo ALERT® Plus
Views: 36

Learn how to create collateral SSIs in Omgeo ALERT.

Category: Omgeo ALERT®
Views: 16

Learn how to create collateral SSIs in Omgeo ALERT.

Category: Omgeo ALERT®
Views: 18

This webcast will provide an overview on how to register an entity using the Global Markets Entity Identifier (GMEI)...

Category: GMEI
Views: 33

Learn how to populate your standing instructions according to DTC best practice.

Category: Omgeo ALERT® Web
Views: 31

Learn how to populate your standing instructions according to DTC best practice.

Category: Omgeo ALERT® Web
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Learn how to populate your standing instructions according to FEDWIRE best practice.

Category: Omgeo ALERT® Web
Views: 74

Learn how to populate your standing instructions according to FEDWIRE best practice.

Category: Omgeo ALERT® Web
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Learn how to filter client accounts in order to view and save settlement instructions by certain market or security...

Category: Omgeo ALERT® Web
Views: 15

Learn how to create SSis with a future effective date.

Category: Omgeo ALERT® Web
Views: 39

Learn how to get started with the Omgeo ALERT® homepage. 

Category: Omgeo ALERT® Web
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Learn how to use GMEI to Submit Bulk Registration and Maintenance Files. 

Category: GMEI
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Learn how to conduct a search for multiple access codes.

Category: Omgeo ALERT® Web
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Find Alerts using multiple acronym functionality.

Category: Omgeo ALERT® Web
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Learn how to create & maintain your FX/CASH SSIs per best practice guidelines and market specific variations...

Category: Omgeo ALERT® Web
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Learn how to create & maintain your FX/CASH SSIs per best practice guidelines and market specific variations...

Category: Omgeo ALERT® Web
Views: 3

Learn how to get started with Omgeo ALERT® Plus

Category: Omgeo ALERT® Plus
Views: 14

Apprendre comment naviguer la nouvelle version Omgeo ALERT® 5.0 et identifier les changements et la nouvelle...

Category: Omgeo ALERT® Web
Views: 0

Apprendre comment naviguer la nouvelle version Omgeo ALERT® 5.0 et identifier les changements et la nouvelle...

Category: Omgeo ALERT® Web
Views: 0

Imparare ad utilizzare la nuova versione dell’interfaccia e identificare la nuova funzionalità​

Category: Omgeo ALERT® Web
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Imparare ad utilizzare la nuova versione dell’interfaccia e identificare la nuova funzionalità​.

Category: Omgeo ALERT® Web
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Learn how to create Standing Settlement Instructions for segregated or separately managed accounts in Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 2

Learn how to use the search feature in Omgeo ALERT® Utilities to search for and download your account data into Excel.

Category: Omgeo ALERT® Web
Views: 0

Learn how to use the Omgeo ALERT® audit reports 

Category: Omgeo ALERT® Web
Views: 1

Learn how to ensure your standing settlement instructions remain compliant with market best practices by leveraging...

Category: Omgeo ALERT® Web
Views: 2

Learn how to access and approve/ authorize items requiring Data Authenticator approval within Omgeo ALERT®. 

Category: Omgeo ALERT® Web
Views: 1

Learn how to use Data Authentication and ensure your newly created SSIs meet local approval.  

Category: Omgeo ALERT® Web
Views: 1

Learn how to  generate the available audit reports within Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 0

Learn how to use Omgeo ALERT's automatic scan of your settlement instructions to ensure that your SSIs remain...

Category: Omgeo ALERT® Web
Views: 1

Learn how to group your broker acronyms in a list for easier administration of granting broker access to view your...

Category: Omgeo ALERT® Web
Views: 5

Learn how to manually delete a model within Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 0

Learn how to edit your model within Omgeo ALERT® 

Category: Omgeo ALERT® Web
Views: 0

Learn how to create a model using your generic Global Custodian instructions within Omgeo ALERT® 

Category: Omgeo ALERT® Web
Views: 3

Learn how to use Global Custodian Direct to link your account to your Global Custodian's data, hosted by your...

Category: Omgeo ALERT® Global Custodian Direct
Views: 6

Learn how to create accounts within Omgeo ALERT® for Investment Managers.

Category: Omgeo ALERT® Web
Views: 8

Learn some of the advanced functionality for brokers, within Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 11

Learn how to Navigate the Omgeo ALERT® Homepage.

Category: Omgeo ALERT® Web
Views: 3

Learn how to use the Omgeo ALERT® to support your internal Data Authentication requirements.

Category: Omgeo ALERT® Web
Views: 3

Learn the fundamentals of Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 14

Deepen your understanding and use of Omgeo ALERT® with our Intermediate level training webinar.

Category: Omgeo ALERT® Web
Views: 3

Learn how Omgeo ALERT® can benefit you as a Prime Broker or Hedge Fund.

Category: Omgeo ALERT® Web
Views: 2

Learn how to maintain your model and account SSIs, grant brokers access, view Broker SSIs and download data from Omgeo...

Category: Omgeo ALERT® Web
Views: 4

Learn how to use data search functionality within Omgeo ALERT® in order to export your own and client data. 

Category: Omgeo ALERT® Web
Views: 0

Learn how to find your Investment Manager's settlement instructions within Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 2

Learn how to edit your delivery instructions within an Omgeo ALERT® model.

Category: Omgeo ALERT® Web
Views: 0

Learn how to delete your delivery instruction models within Omgeo ALERT®.

Category: Omgeo ALERT® Web
Views: 1

Learn how to create your delivery instructions within an Omgeo ALERT® model. 

Category: Omgeo ALERT® Web
Views: 7

Learn how to use Omgeo ALERT®'s functionality to alert you of changes to your clients' settlement instructions. 

Category: Omgeo ALERT® Web
Views: 11

Learn how to cross reference your client's settlement instructions to your own internal account numbers using out BIA...

Category: Omgeo ALERT® Web
Views: 4

Custody Service 101: Introduction to Custody

This course will provide an overview of the DTC's Custody Service, traditional custody deposit process, full and partial custody withdrawal processes, custody reorganization deposit process, and process custody activities.

Reorganization Service 103: Unit Investment Trust Services

DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service (PBS). In this course you will be introduced to the Reorganization services and Unit Investment Trust Services.

Reorganization Service 101: Fundamentals

DTCC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTCC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services and products that DTCC offers to its participants.

Reorganization Service 102: Mandatory Reorganizations

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganizations.

Reorganization Service 201: Voluntary Reorganizations

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to voluntary reorganizations.

Reorganization Service 202: Tender Offers

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to tender offers.

Reorganization Service 203: Conversions

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to conversions.

Reorganization Service 206: Warrants

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to warrants.

Reorganization Service 301: Mandatory Reorganization Deposits

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganization deposits.

Deposits Service 301: Case Study

This course will provide an overview of Restricted Deposits Service, how to Enter, update, view and delete restricted deposits, overview of Branch Deposit Service, how to view previously entered brand deposits. The course will also focus on benefits and features of the DWAC program, enter and cancel DWAC deposits and how to request copies of deposits documents.

Withdrawals Service 203: Urgent Withdrawals of Physical Securities

DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the processing of urgent withdrawals for physical securities.

Withdrawals Service 303: Using Direct Mail Services

DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of DTC's Direct Mail Services.

Corporate Actions Certification Exam

Final Corporate Actions Certification exam- (You will be provided access to this Corporate Actions Final Exam upon signing up for our Certification program).

Reorganization Service 208: CNS Reorganizations

NSCC processes reorganizations via its Continuous Net Settlement (CNS) system. These services are available through the Participant Terminal System (PTS) and the Participant Browser Services (PBS). In this course, you will learn how NSCC handles reorganizations using CNS, and be presented with detailed information regarding the reports and functions used to process reorganizations.

Deposits Service 101: Basic Concepts

This course will provide an overview of DTC's Deposits Service.

Reorganization Service 207: Inquiries

DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS). In this course you will be introduced to the Reorganization products, including the PTS inquiry and update functions which DTC offers to it’s participants

Reorganization Service 306: Risk Analysis Service

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Risk Analysis Service.

Deposits Service 201: Making, Rejecting and Tracking Deposits

This course will demonstrate how to enter regular, mandatory reorganization, and legal deposits into the DAM system, research and troubleshoot rejected deposits, identify which securities are DTC eligible, track regular, mandatory reorganization, and legal deposits using PTS.

Reorganization Service 204: Rights Subscriptions

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to rights subscriptions.

Reorganization Service 205: Put Options

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to put options.

Reorganization Service 304: Positional Removal Service

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Positional Removal Service.

Reorganization Service 305: RTOP Service

DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the RTOP Service.

Withdrawals Service 201: Preparing to Make a Withdrawal-by-Transfer

DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the necessary steps prior to making a Withdrawal-by-Transfer.

Withdrawals Service 101: Introduction to DTC Withdrawals Service

DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the importance, benefits, and operations of DTC's Withdrawals Service.

Corporate Actions


Browser Access and Rules


Entitlements and Allocations


Instructions


Announcements: Distributions


Announcements: Redemptions


General


Mapping


Messaging


ISO 20022 Initiative


 

Custody


Most of your questions can be answered with the   spreadsheet Custody Conversion Checklist (76 KB) .
This easy spreadsheet outlines the sequence of events that must take place, as well as the party or parties responsible for each step.

 

The only service that will require a signed agreement prior to participating is the Custody Reorg service. All other service documents are a part of the Custody Service Guide, and do not require a signature.

DTC follows-up with the agent the following day, and each day thereafter. Transfer Agent rush fees are passed through to the participant.  DTC processes rush transfer instructions to the agent via express mail on the day of their receipt.


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