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  • Canceling RAD Transactions

    • Settlement
    • Broker/Dealer
    • Bank
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • Introduction to Risk Management Controls Inquiry

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    The Risk Management Controls Inquiry (RMCI) function allows you to view the current settlement balance or Risk Management Control-related balances for your collateral group. You can also view your: Settlement Progress Payments (SPP) and Principal & Interest (P&I) available balances Net debit caps Debit peak averages Pending transactions Unapproved transactions
  • About Net Debit Caps and Debit Peaks

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • Risk Management Controls Inquiry

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
    0.00 ( 0 votes )
  • Viewing Balances

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • Submitting an Initial Participants Fund Deposit or a Voluntary Deposit

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    For initial deposits by new Participants and voluntary deposits by existing Participants, wire the funds to DTC, formatting the instruction to conform to Fedwire standards for Fed fund transfers. In This Field Enter Receiving Bank ABA Number DTC's ABA Number: 026002066. Receiving Bank Name DTC's telegraphic name: DTC SDFS. Originator (ORG) The name of the Participant whose account is to be...
  • Introduction to Receiver Authorized Delivery

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • The RAD Profiles

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • Creating/Updating/Viewing/Approving a RAD Profile

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • Limits Configuration

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
    0.00 ( 0 votes )
  • Global Limits

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
    0.00 ( 0 votes )
  • Bilateral Limits

    • Settlement
    • Settlement Web
    • DTC Settlement Risk Management Controls
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  • About Receiver Authorization Delivery (RAD)

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    RAD allows Participants to review and either approve or reject incoming deliveries before they are processed. All valued DOs, POs, institutional deliveries, MMI transactions, reclaims, pledges and releases of pledged securities are subject to RAD controls. Participants are allowed to set their own RAD limits on a global or bilateral level. Global limits apply to all contra-participants and...
  • Stock Loans

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    Participants may establish bilateral and global RAD profile limits specifically for their stock loan and stock loan return activity. Applicable stock lending transactions will be checked against the receiver’s stock lending profile limits for passive approval or will otherwise await the receiver’s active approval based on the parameters of the profile. Absent a Participant establishing a Stock...
  • Approving Or Cancelling Deliveries

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    You can approve or cancel transactions received via DTC’s Settlement Web interface or an automated RAD messaging process.
  • Indexed Principal Transactions

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    You can view and act on MMI transactions in RAD for issues that contain an indexed principal feature. Deliver Order (DO) transactions are directed to RAD whenever: An issuing/paying agent (IPA) initiates a DO in an MMI program that allows for indexed principal as a possible feature of any issue under the program, or A dealer/sales agent initiates a turnaround DO in an MMI program that allows...
  • Wind-Down Participant

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    DTC may, in its discretion, apply RAD to all DOs and POs initiated by a Wind-Down Participant, regardless of value. Receiving Participants may raise their RAD limits to manage such transactions. .
  • Reasons For Recycling

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    Transactions can recycle because of Risk Management Controls or insufficient position. A transaction may recycle under any of the following circumstances: The deliverer has insufficient position to complete the transaction. Completing the transaction would make the deliverer's collateral monitor negative, that is, the total remaining collateral in the deliverer’s account is less than the...
  • Pending Delivery Account

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    DTC helps ensure the integrity of the FIFO queue by temporarily holding your position for transactions recycling due to risk management controls. This account is called the Pending Delivery Account (PDA). After your position is moved to the PDA, it is not available for other transactions that are recycling for insufficient position. You can use the POSM function to move your PDA position back...
  • Pending Transaction Account

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    You can reserve position for pending transactions in DTC's Pending Transaction Account (PTA) using the PTA indicator available in the Deliver Order functions. If you want specific transactions to be subject to the PTA procedures (to have the position reserved), set the PTA indicator to Y. Transactions with the PTA indicator left blank are not subject to the PTA procedures.

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