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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
 ALERT 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 |
| 2 |
ALERT 5.11 Product Release Information | This document outlines the enhancements included in the ALERT platform 5.11 release. | Apr 04, 2018 |
| 3 |
ALERT 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 |
| 4 |
ALERT 5.13 Product Release Information | This document outlines the enhancements included in the ALERT platform 5.13 release, which is scheduled to go into the Client Test environment on July 19, 2018, and into Production on July 28, 2018. | Aug 07, 2018 |
| 5 |
ALERT Market Updates - January 2018 | This document describes the market updates available on the ALERT platform in January 2018. | Jan 22, 2018 |
| 6 |
ALERT Market Updates - November 2018 | This document describes the market updates available on the ALERT platform in November, 2018. | Nov 16, 2018 |
| 7 |
ALERT 5.8 Product Release Information | Describes new features, Market/Business Rules Changes, and defect fixed in the version 5.8 release. | Apr 03, 2018 |
| 8 |
ALERT 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 |
| 9 |
ALERT 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 |
| 10 |
ALERT 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 |
| 11 |
ALERT 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 |
| 12 |
ALERT 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 |
| 13 |
ALERT 5.4 Product Release Information | Describes enhancements to the ALERT Web user interface contained in the December 2015 Release. | Apr 03, 2018 |
| 14 |
ALERT 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 |
| 15 |
ALERT 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 |
| 16 |
ALERT 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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
 ALERT Broker/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. | Jan 31, 2019 |
| 2 |
ALERT Global Custodian Online Help | The online help files describe use of the ALERT platform's web interface, and are also available using context-sensitive links in the application. | Dec 21, 2018 |
| 3 |
ALERT Investment 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. | Jan 31, 2019 |
| 4 |
ALERT Regional 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. | Jan 31, 2019 |
| 5 |
ALERT for Trustee 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. | Jan 31, 2019 |
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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
BNP 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 |
| 2 |
ALERT Market/Business Rules New! | The Market/Business Rules describe ALERT platform market-specific best practices. This content is delivered in HTML5 format. | Jan 31, 2019 |
| 3 |
ALERT Foreign Exchange Settlement Instructions | ALERT platform Market/Business Rules for Foreign Exchange (FX) settlement. | Dec 06, 2018 |
| 4 |
ALERT Settlement Instructions and Validation Rules New! | Details the extensive rules validation for settlement instruction data intended for the ALERT database. | Feb 12, 2019 |
| 5 |
ALERT-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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
 DTDs 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 |
| 2 |
ALERT 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 |
| 3 |
ALERT 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 |
| 4 |
ALERT Platform Broker/Dealer Direct Interface 4.0 DTDs | A zip file of the Data Type Descriptors (DTDs) in Production. | Feb 16, 2018 |
| 5 |
ALERT 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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
ALERT GC Direct 1.0 Interface: XSD File | XSD file for the ALERT GC Direct 1.0 interface. | Oct 02, 2017 |
| 2 |
ALERT 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. | Aug 03, 2018 |
| 3 |
ALERT 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 |
ALERT® Product Guide
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
ALERT 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 |
| 2 |
ALERT - 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 |
| 3 |
ALERT Common Reference Data New! | Provides tables of values for certain fields used in the ALERT platform's Web and Direct interfaces and in the ALERT Plus module. | Feb 11, 2019 |
| 4 |
ALERT 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 |
| 5 |
ALERT Settlement Instruction (SI) Scan Upload Guide | This document describes how to upload SI Scan files to the ALERT platform. | Feb 28, 2018 |
| 6 |
ALERT 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 |
| 7 |
ALERT System Requirements | Describes the certified hardware and software for the ALERT platform. | Dec 28, 2018 |
| 8 |
ALERT Usage Guidelines | Lists responsibilities, standards, and guidelines for all users of the ALERT platform. | Nov 15, 2018 |
Message specifications that contain XML schema format message details and error codes for the ALERT open application program interface.
ALERT® Open API
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
ALERT 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 |
| 2 |
ALERT Open API Message Specification 1.0 - Investment Managers | Investment Manager message specification for the ALERT Open API interface. | May 09, 2018 |
| 3 |
ALERT 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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
ALERT Plus Upload Guide for Global Custodians | Describes uploading ALERT Plus files to the ALERT platform (global custodians). | Mar 12, 2018 |
| 2 |
ALERT 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
| # | Name | Description | Added On |
|---|---|---|---|
| 1 |
ALERT 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 |
| 2 |
ALERT 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