The ALERT platform is the industry’s largest and most compliant online global database for the maintenance and communication of account and standing settlement instructions (SSI). The ALERT platform enables a community of investment managers, brokers/dealers and custodian banks to share accurate account and SSI automatically worldwide.

Documentation


Documentation covering features, functionality and best practices that apply across multiple Institutional Trade Processing services. See the Cross-Product section.

Guides outlining the functionality included in recent releases of the ALERT platform.  

 

ALERT Product Release Information

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1ALERT 5.9 Product Release InformationALERT 5.9 Product Release Information

Describes enhancements and defect fixes in the ALERT Web user interface and Open API Message Broker/Dealer specification in the March 2017 version 5.9 release.

Apr 03, 2018
2ALERT 5.11 Product Release InformationALERT 5.11 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.11 release.

Apr 04, 2018
3ALERT 5.12 Product Release InformationALERT 5.12 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.12 release, which is scheduled to go into the Client Test environment on March 15,2018, and into Production on March 24, 2018.

Mar 15, 2018
4ALERT Market Updates - January 2018ALERT Market Updates - January 2018

This document describes the market updates available on the ALERT platform in January 2018.

Jan 22, 2018
5ALERT 5.8 Product Release InformationALERT 5.8 Product Release Information

Describes new features, Market/Business Rules Changes, and defect fixed in the version 5.8 release.

Apr 03, 2018
6ALERT 5.0 Product Release InformationALERT 5.0 Product Release Information

Describes updates to the ALERT platform's web interface, the new global custodian direct interface, updates to the broker dealer direct interface, data search functionlality (formerly DART reports), BIA upload templates, market/business rules, and character set requirements.

Apr 03, 2018
7ALERT 5.1 Product Release InformationALERT 5.1 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface contained in the June 2015 Maintenance Release.

Apr 03, 2018
8ALERT 5.10 Product Release InformationALERT 5.10 Product Release Information

Describes new features and Market/Business Rules changes in the version 5.10 release of the ALERT platform.

Apr 03, 2018
9ALERT 5.2 Product Release InformationALERT 5.2 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface contained in the July 2015 Maintenance Release.

Apr 03, 2018
10ALERT 5.3  Product Release InformationALERT 5.3 Product Release Information

Describes planned enhancements/defect fixes/business rule changes to the ALERT platform's web user interface in the October 2015 Maintenance Release.

Apr 03, 2018
11ALERT 5.4  Product Release InformationALERT 5.4 Product Release Information

Describes enhancements to the ALERT Web user interface contained in the December 2015 Release.

Apr 03, 2018
12ALERT 5.5 Product Release InformationALERT 5.5 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Common Reference Data, and Market/Business Rules contained in the April 9, 2016 Release.

Apr 03, 2018
13ALERT 5.6 Product Release InformationALERT 5.6 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Common Reference Data, Market/Business Rules, and a description of the Open Application Program Interface (API) in the July 2016 release.

Apr 03, 2018
14ALERT 5.7 Product Release InformationALERT 5.7 Product Release Information

Describes enhancements/defect fixes/business rule changes to the ALERT Web user interface, Collateral Code Support, and Market/Business Rules in the ALERT 5.7 release.

Apr 03, 2018

 

 Online help for the ALERT platform's web interface. This content is also available using context-sensitive links from within the application.

 

ALERT® Web and Online Help

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1Broker/Dealer Online HelpBroker/Dealer Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Jun 15, 2018
2Global Custodian Online HelpGlobal Custodian Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Jun 15, 2018
3Investment Manager Online HelpInvestment Manager Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Jun 15, 2018
4Regional Custodian Online HelpRegional Custodian Online Help New!

The online help files describe use of the ALERT platform's web interface for Regional Custodian. The online help is also available using context-sensitive links in the ALERT web interface.

Jun 15, 2018
5Trustee Online HelpTrustee Online Help New!

The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application.

Jun 15, 2018

Market-specific requirements/recommendations for populating global settlement instructions.  Available for those countries where specific data population practices have been mandated/recommended.

 

ALERT® Market/Business Rules

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1BNP Paribas Single Matching Identifier(SMI)  and ALERT SSIsBNP Paribas Single Matching Identifier(SMI) and ALERT SSIs

This document describes ALERT platform best practices for SSIs (with BNP Paribas as the custodian and sub-custodian) where SMIs are needed for matching.

May 02, 2018
2ALERT Market/Business RulesALERT Market/Business Rules New!

The Market/Business Rules describe ALERT platform market-specific best practices. This content is delivered in HTML5 format.

Jun 15, 2018
3ALERT Foreign Exchange Settlement InstructionsALERT Foreign Exchange Settlement Instructions

ALERT platform Market/Business Rules for Foreign Exchange (FX) settlement.

Mar 13, 2018
4ALERT Settlement Instructions and Validation RulesALERT Settlement Instructions and Validation Rules

Details the extensive rules validation for settlement instruction data intended for the ALERT database.

Jan 09, 2018
5ALERT-SWIFT MappingALERT-SWIFT Mapping

Describes how the ALERT platform fields for standard, foreign exchange, and cash settlement instructions map to SWIFT fields.

Mar 16, 2018

 

Documentation for implementing the ALERT Direct Broker/Dealer API.  Includes Programmer Guides, DTDs , and Message Specifications.        

ALERT® Broker/Dealer Direct

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1DTDs for the ALERT Direct Interface Version 4.1 for Broker/DealersDTDs for the ALERT Direct Interface Version 4.1 for Broker/Dealers

A zip file containing the DTDs for the ALERT Broker/Dealer Direct 4.1 Interface (Get_Method_by_Delivery9.dtd, Get_General_Account_Info_by_BIA9.dtd, Get_General_Info_by_Acronym_and_Access_Code9.dtd).

Mar 20, 2018
2ALERT 4.1 Broker/Dealer Direct Interface Conformance GuideALERT 4.1 Broker/Dealer Direct Interface Conformance Guide

Provides tests to validate your application's compatibility with the ALERT platform production environment.

May 11, 2018
3ALERT 4.1 XML Message Specification Broker/DealersALERT 4.1 XML Message Specification Broker/Dealers

Message specification that contains the messages, data dictionary, and error codes for a broker/dealer ALERT direct client interface.

Feb 28, 2018
4ALERT Platform Broker/Dealer Direct Interface 4.0 DTDsALERT Platform Broker/Dealer Direct Interface 4.0 DTDs

A zip file of the Data Type Descriptors (DTDs) in Production.

Feb 16, 2018
5ALERT Broker/Dealer Direct Interface Programmer's GuideALERT Broker/Dealer Direct Interface Programmer's Guide

Describes the steps for creating a broker/dealer direct client interface to the ALERT host.

Mar 21, 2018

 

Documentation describing the upload functionality available to ALERT Investment Managers and Global Custodians. Includes instructions and data format information.

 

ALERT® GC Direct

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1ALERT GC Direct 1.0 Interface: XSD FileALERT GC Direct 1.0 Interface: XSD File

XSD file for the ALERT GC Direct 1.0 interface.

Oct 02, 2017
2ALERT Global Custodian 1.0 Direct XML Message SpecificationALERT Global Custodian 1.0 Direct XML Message Specification

Contains the messages, data dictionary, and error codes for the ALERT Direct Global Custodian 1.0 client interface.

Jan 30, 2018
3ALERT Investment Manager’s Guide to GC Direct OnboardingALERT Investment Manager’s Guide to GC Direct Onboarding

This document focuses on GC Direct information and the onboarding steps required for investment managers to implement the ALERT GC Direct interface. It contains workflow diagrams for onboarding different implementation scenarios, as well as for ongoing monitoring.

May 02, 2018

General documentation related to the ALERT platform.  Includes system requirements, how-to guides, and usage guidelines.  

 

ALERT® Product Guide

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1ALERT and CTM Legal Identifier (LEI) Information Job AidALERT and CTM Legal Identifier (LEI) Information Job Aid

This document describes how to set up new LEI functionality in the ALERT platform and how the enriched information is reported in the CTM service.

May 02, 2018
2ALERT - Managing LEIs - Job AidALERT - Managing LEIs - Job Aid

This document describes how to use the ALERT platform Data Search report to help determine what access codes may need LEIs to comply with MiFID II.  

May 03, 2018
3ALERT Common Reference DataALERT Common Reference Data

Provides tables of values for certain fields used in the ALERT platform's Web and Direct interfaces and in the ALERT Plus module.

Feb 07, 2018
4ALERT Data Search ReportsALERT Data Search Reports

This document describes the contents of the ALERT platform Data Search files, their format, and how the fields map to the legacy DART fields.

Feb 28, 2018
5ALERT Settlement Instruction (SI) Scan Upload GuideALERT Settlement Instruction (SI) Scan Upload Guide

This document describes how to upload SI Scan files to the ALERT platform.

Feb 28, 2018
6ALERT SSI Utility Character Set SpecificationsALERT SSI Utility Character Set Specifications

Information on character sets permitted in all SSI Utility components: Broker Direct, Global Custodian Direct, and ALERT web interfaces.

Apr 03, 2017
7ALERT System RequirementsALERT System Requirements

Describes the certified hardware and software for the ALERT platform.

May 08, 2018
8ALERT Usage GuidelinesALERT Usage Guidelines

Lists responsibilities, standards, and guidelines for all users of the ALERT platform.

May 08, 2018

 

Message specifications that contain XML schema format message details and error codes for the ALERT open application program interface.             

 

ALERT® Open API

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1ALERT Open API 1.0  Message Specification - Broker/DealersALERT Open API 1.0 Message Specification - Broker/Dealers

Message Specification that contains the messages and error codes for the ALERT open application program interface (API) for broker/dealers.

Mar 28, 2018
2ALERT Open API  Message Specification 1.0 - Investment ManagersALERT Open API Message Specification 1.0 - Investment Managers

Investment Manager message specification for the ALERT Open API interface.

May 09, 2018
3ALERT Open API  Message Specification 1.0 -  VendorsALERT Open API Message Specification 1.0 - Vendors

Message Specification that contains the messages and error codes for the ALERT open application program interface (API) for vendors.

May 11, 2018

 

Documentation describing the upload functionality available to ALERT platform Investment Managers and Global Custodians. Includes instructions and data format information.  

 

ALERT® Plus

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1ALERT Plus Upload Guide for Global CustodiansALERT Plus Upload Guide for Global Custodians

Describes uploading ALERT Plus files to the ALERT platform (global custodians).

Mar 12, 2018
2ALERT Plus Guide for Investment ManagersALERT Plus Guide for Investment Managers

Describes uploading ALERT Plus module files to the ALERT platform (investment managers).

Apr 03, 2018

 

Guides that detail Trustee and Regional Custodian workflow management within the ALERT Web user interface. 

 

ALERT® for Trustee

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1ALERT for Regional Custodian Guide to GC Direct OnboardingALERT for Regional Custodian Guide to GC Direct Onboarding

This document focuses on GC Direct information, the onboarding steps required to implement GC Direct, and the SSI monitoring process for regional custodians.

May 01, 2018
2ALERT for Trustee Guide to GC Direct OnboardingALERT for Trustee Guide to GC Direct Onboarding

This document focuses on GC Direct information, the onboarding steps required to implement GC Direct, and the SSI monitoring process for trustees.

May 01, 2018

 


Videos

 


Playlist

ALERT Beginners Level Training

  • 1. ALERT Beginners Level Training
  • 2. ALERT Intermediate Level Training
  • 3. ALERT: FX / CASH - Beginners Level Training
  • 4. ALERT: Managing Collateral SSIs
  • 5. ALERT: Get Started with ALERT® Plus file uploads
  • 6. ALERT: Understanding the Global Custodian Direct Conversion Process for Investment Managers
  • 7. ALERT for Investment Managers: Working with Global Custodians
  • 8. ALERT® Prime Broker / Hedge Fund Solution - Overview Webinar
  • 9. What is ALERT ASSiST?
  • 10. ALERT: How to Create an Account
  • 11. ALERT: How to Create an Account and Link to a GC Direct Acronym
  • 12. ALERT: How to Create an Account and Assign to a Trustee
  • 13. ALERT: How to create an account and assign to a Regional Custodian
  • 14. ALERT: How to Maintain SSIs for Separately Managed Accounts
  • 15. ALERT: How to Create a Broker List
  • 16. ALERT: How to Create a Model
  • 17. ALERT: How to Edit a Model
  • 18. ALERT: How to Delete a Model
  • 19. ALERT: How to Create Future Effective Model SSIs
  • 20. ALERT: Search and Download Account Data using Accounts View from the Utilities Menu
  • 21. ALERT: How to Generate and Access Reports
  • 22. ALERT: How to Manage invalid SSIs using SI Scan
  • 23. ALERT: How to Navigate the Homepage
  • 24. ALERT: Managing Data Authentication
  • 25. ALERT: How to Submit Items for Data Authentication
  • 26. ALERT: How to Approve or Authorize Items within Data Authentication
  • 27. ALERT: Market Best Practice Population Guidelines for DTC for Investment Managers
  • 28. ALERT: Market Best Practice Population Guidelines for FEDWIRE for Investment Managers
  • 29. Prepare for MiFID II's Expansion of Reporting Requirement of LEIs
 

Playlist

ALERT Beginners Level Training

  • 1. ALERT Beginners Level Training
  • 2. ALERT Intermediate Level Training
  • 3. ALERT: FX / CASH - Beginners Level Training
  • 4. ALERT: Managing Collateral SSIs for Brokers
  • 5. What is ALERT ASSiST?
  • 6. ALERT: How to Find Your Clients' Account SSIs
  • 7. ALERT: How to Search for Multiple Accounts and Access Codes
  • 8. ALERT: How to Filter Client Account SSIs
  • 9. ALERT: How to Create a Model
  • 10. ALERT: How to Edit a Model
  • 11. ALERT: How to Delete a Model
  • 12. ALERT: How to Create a BIA# or Cross Reference
  • 13. ALERT: How to Manage Alerts
  • 14. ALERT: View Alerts from Multiple Acronyms on the Alerts tab
  • 15. ALERT: How to Export Data
  • 16. ALERT: How to Generate and Access Reports
  • 17. ALERT: How to Manage Invalid SSIs using SI Scan
  • 18. ALERT: How to Navigate the Homepage
  • 19. ALERT: Managing Data Authentication
  • 20. ALERT: How to Submit Items for Data Authentication
  • 21. ALERT: How to Approve or Authorize Items within Data Authentication
  • 22. ALERT: Market Best Practice Population Guidelines for FEDWIRE for Brokers
  • 23. ALERT: Market Best Practice Population Guidelines for DTC for Brokers
  • 24. Prepare for MiFID II's Expansion of Reporting Requirement of LEIs
  • 25. ALERT: Understanding your Billing Structure

Playlist

ALERT: Getting Started with ALERT Plus for Global Custodians

  • 1. ALERT: Getting Started with ALERT Plus for Global Custodians
  • 2. ALERT® Prime Broker / Hedge Fund Solution - Overview Webinar
 


 

ALERT® for Broker Dealers - Securities

The ALERT® for Broker/Dealers Training Curriculum will get you started using the ALERT® for Brokers application, or provide you with a refresher of the basics.

ALERT® for Broker Dealers – FX and Cash

The ALERT® for Broker/Dealers – FX and Cash will get you started using the ALERT® for Brokers application, or provide you with a refresher of the basics.