Insurance & Retirement Services

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC's Insurance & Retirement Services offerings. To find the content you need either use the Search field or select a product below to access user guides, record layouts , video tutorials, FAQs, and more.

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DTCC's Insurance & Retirement Services (I&RS) offers a suite of streamlined processing and compliance-driven solutions for carriers and their distribution partners -- broker/dealers, banks, brokerage general agencies, independent broker/dealers and other firms -- through a secure, centralized and automated infrastructure. This infrastructure enables insurance carriers and distributors to exchange information at various points throughout the annuity and life insurance processing cycle.

Listed below are the products for Insurance & Retirement Services. Click into each product link below to explore more...





Agent Services

Commissions (COM) transmits information regarding agent commission and compensation payments from insurance carriers to distributors for annuity and life insurance products. It also provides same-day money settlement.
DTCC Insurance Profile enables annuities distributors to access expense, fee and commission schedule data from carriers in a central location.
Licensing & Appointments (LNA) automates and standardizes the two-way flow of information needed to manage producer information between insurance carriers and distributors, eliminating paper and simplifying data exchange.
Producer Management Portal (PMP) provides a comprehensive source for centralizing, sharing, tracking & verifying producer training completions. State & product training & source for authorizations for annuity sales.

Pre-Issue Services

Applications & Premium (APP) transmits annuity application and initial premium information from distributors to insurance carriers.
Attachments (ATT) enables insurance distributors and carriers to electronically exchange digital (imaged) documents, signatures, forms and other types of unstructured data during the pre-sale, new business and post-issue processing of annuity and life insurance information.

Monitoring & Reporting

Asset Pricing (AAP) enables insurance carriers to transmit the unit values for underlying funds within variable annuity and life insurance products to distributors on a daily basis. It provides fund-level pricing information, similar to the net asset value for mutual funds, that may be applicable to multiple insurance products within a carrier’s product line.
Financial Activity Reporting (FAR) enables insurance carriers to provide distributors with daily individual and group annuity and life insurance financial transaction information, giving them a comprehensive and accurate picture of client accounts and helping them supervise and manage those accounts.
DTCC’s Insurance Information Exchange (IIEX) is a platform that provides clients with the ability to exchange policy, producer, and product data through a secure data hub that supports the sourcing and consumption of data.
Positions & Valuations (POV) enables insurance carriers to send annuity, life insurance long-term care and retirement income/immediate annuities contract details on a daily, weekly, monthly or other periodic basis, giving them a current snapshot of their entire book of business.

Post-Issue Services: Non-Financial

ACATS-IPS (Automated Customer Account Transfer Service/ Insurance Processing Service) automates the changes in distributors of record for an annuity when clients transfer their accounts from one brokerage firm to another.
DTCC’s IFW Services for Financial & Non-Financial Transactions extends support for the post-issue transaction set, allowing distributors to submit requests through mainframe, real-time service or a simple web interface. 
As an In-Force Transaction (IFT), this automated service facilitates changes of the representative of record (REP) within the managing firm requested by the distributor when the representative leaves the firm, retires or when business for a customer account is transitioned to another agent. 

Post-Issue Services: Financial

Settlement Processing for Insurance automates and centralizes the settlement of post-issue money/funding activities between carriers and distributors as well as between carriers, allowing for the optimal facilitation of insurance withdrawals, full and partial surrenders and mandatory required distributions.
Subsequent Premiums (SUB) transmits subsequent premium information from distributors to insurance carriers. The service provides an efficient, straight-through process for validating, formatting, and submitting subsequent premium payments while incorporating same-day money settlement.

A Tour of IFT Access

IFT Access enables Distributors to submit changes to brokerage identification number (BIN) or representative of record (REP) information. This video tour shows you how to make changes to BIN or REP i…
Modified March 28, 2018

A Tour of LNA Access

LNA Access enables Distributors to submit licensing and appointment requests and producer information transactions. Watch from start to finish or use navigation tabs to select a topic.
Modified August 23, 2016

A Tour of the Producer Management Portal

The Producer Management Portal (PMP) enables Distributors to find Producer training course completion information and real-time point-of-sale training authorizations. This video gives you a tour of P…
Modified September 20, 2016

ACATS-IPS User Guide

This guide provides guidelines for using the ACATS-IPS link to include insurance assets as part of the account transfer process.
June 01, 2012

Attachments Access User and Implementation Guide

This guide will show you how to log in and use the Attachments AccessSM application. Attachments AccessSM allows users to input and exchange data via attachments with trading partners.
September 20, 2020
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