• Document: ACATS User Guide. Automated Customer Account Transfer Service (ACATS)
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  • Uploaded: 2019-04-16 10:17:36
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ACATS User Guide Automated Customer Account Transfer Service (ACATS) User Guide November 2013 1 ACATS User Guide Table of Contents 1 ABOUT THIS USER GUIDE ......................................................................................... 7 1.1 ALL TIMES EASTERN TIME .......................................................................................... 7 2 ABOUT ACATS ............................................................................................................ 8 2.1 BACKGROUND ............................................................................................................ 8 2.2 BENEFITS OF ACATS................................................................................................. 8 2.3 OVERVIEW OF THE TRANSFER PROCESS ....................................................................... 8 2.4 DIAGRAM OF ACATS PROCESS ................................................................................ 10 2.5 NUMBER OF DAYS IN AN ACATS TRANSFER ............................................................... 10 2.6 DATA COMMUNICATION VEHICLES ............................................................................. 11 2.7 TRANSFERS ON BEHALF OF A CORRESPONDENT .......................................................... 11 3 TRANSFER INITIATION ............................................................................................. 12 3.1 STANDARD TRANSFER INITIATION .............................................................................. 12 3.2 NON-STANDARD TRANSFER INITIATION/ASSET SUBMISSION ......................................... 12 3.3 TRANSFER INITIATION PROCESS ................................................................................ 12 3.4 ACCOUNT TYPES ..................................................................................................... 12 3.4.1 TRANSFERRING ROTH AND EDUCATIONAL IRAS.................................................... 13 3.5 TIF REJECT AND ADJUSTMENT PROCESS .................................................................. 13 3.5.1 24-HOUR REJECTS ............................................................................................ 13 3.6 TIF ADJUSTMENTS ................................................................................................... 13 3.6.1 DELIVERER CHANGES TO THE TI RECORD ............................................................. 13 3.6.2 RECEIVER CHANGES TO THE TI RECORD .............................................................. 14 3.7 SSN (SOCIAL SECURITY NUMBER) FIELD REJECT ....................................................... 14 3.8 RECEIVER CORRESPONDENT FIELD ........................................................................... 14 3.9 CUSTOMER ACCOUNT NUMBER FIELD........................................................................ 14 3.10 FREEFORM COMMENTS FIELD ................................................................................... 15 3.11 ASSIGNING AN ACATS CONTROL NUMBER TO A REJECTED TIF .................................... 15 3.12 IDENTIFYING THE COUNTERPARTY.............................................................................. 15 4 STANDARD TRANSFERS ......................................................................................... 17 4.1 TYPICAL STANDARD TRANSFER .................................................................................. 17 4.2 TYPICAL ACCELERATED STANDARD TRANSFER ............................................................ 17 4.3 REJECTING A STANDARD TRANSFER ........................................................................... 18 4.3.1 STANDARD TRANSFER REJECT CODES AND DESCRIPTIONS ................................... 19 5 NON-STANDARD TRANSFERS ................................................................................ 20 5.1 NON-STANDARD TRANSFER TYPES ............................................................................. 20 5.2 TYPICAL NON-STANDARD TRANSFER .......................................................................... 20 5.2.1 NON-STANDARD SETTLEMENT CYCLE.................................................................. 21 5.3 NONSTANDARD TRANSFER REJECTS CODES AND DESCRIPTIONS ................................... 21 5.4 PARTIAL TRANSFER REQUESTS (PTR AND PTD) ........................................................ 22 5.4.1 PROCESS FLOW FOR PTR .................................................................................. 23 5.5 POSITION TRANSFER FUND (PTF) ............................................................................. 23 5.5.1 PTF PROCESS FLOW .......................................................................................... 24 5.5.2 FIRM RECEIVER, FUND DELIVERER ...................................................

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