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Restricted deposits and their transfer instructions are hand-delivered or sent by FedEx Priority Overnight service to the transfer agent. The following figure shows the general process flow of items through the Restricted Deposits service.


The following figure provides a more detailed view of the movement of items through the service.

  


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    Corporate Actions faqs


    CA Web Access FAQs

    You'll need to login to your user account to view the FAQs.


    CA Web Entitlements and Allocations


    CA Web Special Instructions


    CA Web Distribution Announcements


    CA Web Redemption Announcements


    CA Web General FAQs


    ISO 20022 Messaging FAQs


    ISO 20022 Initiative


     

    Custody SERVICE faqs

    Custody FAQs


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    Participants can track their firm’s securities held in DTC’s Custody vault in two ways: 

    a)     Using the PBS CUST Inquiry options.

    b)     The end-of-day Custody Certificate Detail Position File (AIMCDI)

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    DTC carries insurance to cover the costs of replacing certificates lost in transit or on its premise.

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    There is no regulatory policy for auditing the vault. The vault is audited once per year.  Given prior notice, DTC will allow a customer access to their inventory to perform a box count, at a cost. The end-of-day Custody Certificate Detail Position File (AIMCDI) can be used as your firm’s “daily audit.”

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    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.

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    Yes, DTC images all certificates it receives for deposit.  Participants who have imaging systems can make arrangements to have their deposit images sent intra-day to their image server. Firms that do not use imaging technology or choose not to receive all of their images can request copies of individual deposits via the Image Viewer function accessible via the PBS CUST function.

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    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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