ALERT®
COMMON REFERENCE DATA
FEBRUARY 19, 2021 © 2021 The Depository Trust & Clearing Corporation. All rights reserved. The services described herein are provided under the “DTCC” brand name by certain affiliates of The Depository Trust & Clearing Corporation (“DTCC”). DTCC itself does not provide such services. Each of these affiliates is a separate legal entity, subject to the laws and regulations of the particular country or countries in which such entity operates. Please see www.dtcc.com for more information on DTCC, its affiliates and the services they offer. Publication Code: AL766
Service: ALERT
Title: Common Reference Data TABLE OF CONTENTS
Preface 5
Overview 5
Audience 5
Questions? 5
Related Documents and Training 5
1. Introduction 6
2. Country Code (ALERT and ISO) 7
Currency Code 17
Allowed Currencies for Continuous Linked Settlement (CLS) Method 17
OFAC-Sanctioned Currency Codes 18
3. ALERT Methods 19
ALERT Method Available for all Countries 19
ALERT Country Codes for CLS Method 20
ALERT Methods by Country of Settlement 21
4. Fund Type 41
5. ALERT Methods by Derivatives Clearing Houses 42
6. Security Type Code (ALERT) 44
Alternate Security Types 46
Alternative Security Types Specific to Hong Kong and China Country Codes 47
Additional F/X Security Types 47
7. ALERT Confirm Recipient Category Code Versions 49 Confirm Recipient Category Codes Version 2.2 49
Confirm Recipient Category Codes Version 3.0 49
8. Account Type 50
9. Affirming Party 51 ALERT Common Reference Data
PREFACE
Overview This document list common reference data values you can use n ALERT® platform's web interface, the ALERT Platform's direct interfaces, and the ALERT Plus module. Audience This document is for:
l Technical staff who support the ALERT platform
l Users who want to understand the common reference data values used in the ALERT Platform's web interface, the ALERT Direct interfaces, and the ALERT Plus module.
Questions? The DTCC Client Center provides general assistance and technical help. Visit www.dtcc.com/client-center to:
l Enter a service request or check
l Search the knowledge base
l Obtain contact information
Related Documents and Training ALERT platform: For related documents and videos, and all documents referenced in this document, go to the Institutional Trade Processing - ALERT Learning Center.
Preface 5 ALERT Common Reference Data
1. INTRODUCTION
This Common Reference Data (CRD) contains, in alphabetical order, tables of allowed values for fields in the ALERT Platform's web interface, The ALERT Platforms' Direct interfaces, and the ALERT Plus module. This guide is intended is intended to provide a general overview of best practices by jurisdiction and asset class. It is not a comprehensive view of every rule.
1. Introduction 6 ALERT Common Reference Data
2. COUNTRY CODE (ALERT AND ISO)
The ALERT platform implements proprietary ALERT platform and ISO country codes as follows:
l The ALERT Platforms' Direct interfaces use only proprietary ALERT country codes, which are either two- or three-letter codes.
l The ALERT Platform's web interface and the ALERT Plus module use only the two-letter ISO country codes.
For a complete listing of ISO country codes, consult the ISO website at https://www.iso.org/obp/ui.
Table 2.1 lists the ALERT platform country code and corresponding ISO country code values.
Table 2.1 ALERT and ISO Country Codes
Country Name ALERT Code ISO Code
A
Afghanistan AF AF
Åland Islands AX AX
Albania AL AL
Algeria DZ DZ
American Samoa AS AS
Andorra AD AD
Angola AO AO
Anguilla AI AI
Antarctica AQ AQ
Antigua and Barbuda AG AG
Argentina ARG AR
Armenia AM AM
Aruba AW AW
Australia AUS AU
Austria AUT AT
Azerbaijan AZ AZ
B
Bahamas BS BS
Bahrain BH BH
Bangladesh BGD BD
2. Country Code (ALERT and ISO) 7 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Barbados BB BB
Belarus BY BY
Belgium BEL BE
Belize BZ BZ
Benin BJ BJ
Bermuda BMU BM
Bhutan BT BT
Bolivia, Plurinational State of BO BO
Bonaire, Sint Eustatius and Saba BQ BQ
Bosnia and Herzegovina BA BA
Botswana BW BW
Bouvet Island BV BV
Brazil BRA BR
British Indian Ocean Territory IO IO
Brunei Darussalam BN BN
Bulgaria BG BG
Burkina Faso BF BF
Burundi BI BI
C
Cambodia KH KH
Cameroon CM CM
Canada CAN CA
Cape Verde CV CV
Cayman Islands CYM KY
Central African Republic CF CF
Chad TD TD
Chile CHL CL
China CHN CN
Christmas Island CX CX
Cocos (Keeling) Islands CC CC
Colombia COL CO
2. Country Code (ALERT and ISO) 8 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Comoros Islands KM KM
Congo CG CG
Congo, The Democratic Republic of the CD CD
Cook Islands CK CK
Costa Rica CRI CR
Côte D'Ivoire CI CI
Croatia HR HR
Cuba* CU* CU*
Curaçao CW CW
Cyprus CY CY
Czech Republic CZ CZ
D
Denmark DNK DK
Djibouti DJ DJ
Dominica DM DM
Dominican Republic DO DO
E
Ecuador ECU EC
Egypt EG EG
El Salvador SV SV
Equatorial Guinea GQ GQ
Eritrea ER ER
Estonia EE EE
Ethiopia ET ET
Europe EUR EU
F
Falkland Islands (Malvinas) FK FK
Faroe Islands FO FO
Fiji FJ FJ
Finland FIN FI
France FRA FR
2. Country Code (ALERT and ISO) 9 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
French Guiana GF GF
French Polynesia PF PF
French Southern Territories TF TF
G
Gabon GA GA
Gambia GM GM
Georgia GE GE
Germany DEU DE
Ghana GH GH
Gibraltar GI GI
Greece GRC GR
Greenland GL GL
Grenada GD GD
Guadeloupe GP GP
Guam GU GU
Guatemala GT GT
Guernsey GG GG
Guinea GN GN
Guinea-Bissau GW GW
Guyana GY GY
H
Haiti HT HT
Heard Island and McDonald Islands HM HM
Holy See (Vatican City State) VA VA
Honduras HN HN
Hong Kong HKG HK
Hungary HUN HU
I
Iceland ISL IS
India IND IN
Indonesia IDN ID
2. Country Code (ALERT and ISO) 10 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Iran, Islamic Republic of* IR* IR*
Iraq IQ IQ
Ireland IRL IE
Isle of Man IM IM
Israel ISR IL
Italy ITA IT
J
Jamaica JM JM
Japan JPN JP
Jersey Channel Island JE JE
Jordan JO JO
K
Kazakhstan KZ KZ
Kenya KE KE
Kiribati KI KI
Korea, Democratic People's Republic of (North)* KP* KP*
Korea, Republic of (South) KOR KR
Kuwait KW KW
Kyrgyzstan KG KG
L
Lao People's Democratic Republic LA LA
Latvia LV LV
Lebanon LB LB
Lesotho LS LS
Liberia LR LR
Libya LY LY
Liechtenstein LI LI
Lithuania LT LT
Luxembourg LUX LU
M
2. Country Code (ALERT and ISO) 11 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Macao MO MO
Macedonia, The Former Yugoslav Republic of MK MK
Madagascar MG MG
Malawi MW MW
Malaysia MYS MY
Maldives MV MV
Mali ML ML
Malta MT MT
Marshall Islands MH MH
Martinique MQ MQ
Mauritania MR MR
Mauritius MU MU
Mayotte YT YT
Mexico MEX MX
Micronesia, Federated States of FM FM
Moldova, Republic of MD MD
Monaco MC MC
Mongolia MN MN
Montenegro ME ME
Montserrat MS MS
Morocco MAR MA
Mozambique MZ MZ
N
Namibia NA NA
Nauru NR NR
Nepal NP NP
Netherlands NLD NL
New Caledonia NC NC
New Zealand NZL NZ
Nicaragua NI NI
Niger NE NE
2. Country Code (ALERT and ISO) 12 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Nigeria NG NG
Niue NU NU
Norfolk Island NF NF
Northern Mariana Islands MP MP
Norway NOR NO
O
Oman OM OM
P
Pakistan PAK PK
Palau PW PW
Palestinian Territory, Occupied PS PS
Panama PAN PA
Papua New Guinea PNG PG
Paraguay PY PY
Peru PER PE
Philippines PHL PH
Pitcairn PN PN
Poland POL PL
Portugal PRT PT
Puerto Rico PR PR
Q
Qatar QA QA
R
Réunion RE RE
Romania ROM RO
Russian Federation RUS RU
Rwanda RW RW
S
Saint Barthélemy BL BL
Saint Helena SH SH
Saint Kitts and Nevis KN KN
2. Country Code (ALERT and ISO) 13 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
St. Lucia LC LC
Saint Martin (French Part) MF MF
Saint Pierre and Miquelon PM PM
Saint Vincent and the Grenadines VC VC
Samoa WSM WS
San Marino SM SM
Sao Tome and Principe ST ST
Saudi Arabia SAU SA
Senegal SN SN
Serbia RS RS
Seychelles SC SC
Sierra Leone SL SL
Singapore SGP SG
Sint Maarten (Dutch Part) SX SX
Slovakia SK SK
Slovenia SI SI
Solomon Islands SB SB
Somalia SO SO
South Africa ZAF ZA
South Georgia and the South Sandwich Islands GS GS
Spain ESP ES
Sri Lanka LKA LK
Sudan SD SD
Suriname SR SR
Svalbard and Jan Mayen SJ SJ
Swaziland SZ SZ
Sweden SWE SE
Switzerland CHE CH
Syrian Arab Republic* SY* SY*
T
Taiwan, Province of China TWN TW
2. Country Code (ALERT and ISO) 14 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Tajikistan TJ TJ
Tanzania, United Republic of TZ TZ
Thailand THA TH
Timor-Leste TL TL
Togo TG TG
Tokelau TK TK
Tonga TO TO
Trinidad and Tobago TTO TT
Tunisia TN TN
Turkey TUR TR
Turkmenistan TM TM
Turks and Caicos Islands TC TC
Tuvalu TV TV
U
Uganda UG UG
Ukraine UA UA
United Arab Emirates AE AE
United Kingdom GBR GB
United States USA US
US Minor Outlying Isles UM UM
Uruguay UY UY
Uzbekistan UZ UZ
V
Vanuatu VU VU
Venezuela VEN VE
Vietnam VNM VN
Virgin Islands, British VG VG
Virgin Islands, U.S. VI VI
W
2. Country Code (ALERT and ISO) 15 ALERT Common Reference Data
Table 2.1 ALERT and ISO Country Codes (continued)
Country Name ALERT Code ISO Code
Wallis and Futuna Islands WF WF
Western Sahara EH EH
Y
Yemen YE YE
Z
Zambia ZM ZM
Zimbabwe ZW ZW
Note
Investment managers using the ALERT platform can receive an exception to store settlement instructions containing OFAC-sanctioned codes in the ALERT platform. Broker/dealers consult with their counterparties to prepare to receive OFAC-sanctioned country code values, denoted by an asterisk * in Table 2.1.
2. Country Code (ALERT and ISO) 16 ALERT Common Reference Data
Currency Code Refer to the full currency code listing that ISO maintains: www.iso.org/iso/home/standards/currency_codes.htm
Allowed Currencies for Continuous Linked Settlement (CLS) Method Table 2.2 lists the currencies and corresponding countries that are valid for the CLS method. For a current list of PSET BICs associated with the depositories listed in this table, go to https://www.smpg.info/?id=9.
Table 2.2 Allowed Currencies for ALERT CLS Method
ISO Currency Name Country Name Code
AUD Australian Dollar Australia
CAD Canadian Dollar Canada
DKK Danish Krone Denmark
EUR Euro European Union
GBP Pound Sterling United Kingdom
HKD Hong Kong Dollar Hong Kong
ILS Israeli New Sheqel Israel
JPY Japanese Yen Japan
KRW South Korean Won Korea, Republic of (South)
MXN Mexican Peso Mexico
NZD New Zealand Dollar New Zealand
SEK Swedish Krona Sweden
SGD Singapore Dollar Singapore
USD United States Dollar United States
ZAR South African Rand South Africa
Currency Code 17 ALERT Common Reference Data
OFAC-Sanctioned Currency Codes Investment managers using the ALERT platform can receive an exception to store settlement instructions containing OFAC-sanctioned codes in the ALERT platform. Broker/dealers consult with their counterparties to prepare to receive OFAC-sanctioned currency code values.
Table 2.3 lists the OFAC-sanctioned currency codes.
Table 2.3 OFAC-Sanctioned Currency Codes
Country Name Country Code Currency Code Name
Cuba CU l CUP (Cuban Peso)
l CUC (Convertible Peso)
Iran IR IRR (Iranian Rial)
North Korea KP KPW (North Korean Wan)
Syria SY SSYP (Syrian Pound)
Notes
DTCC currently blocks these valid ISO country codes. Blocking them ensures compliance with the United States Treasury’s Office of Foreign Asset Control’s (OFAC) laws and regulations and global economic sanctions laws.
OFAC-Sanctioned Currency Codes 18 ALERT Common Reference Data
3. ALERT METHODS
An ALERT method specifies a place of settlement (PSET) bank identifier code (BIC), depository, or a depository that serves as a clearing house.
The ALERT Platform's web interface, the ALERT Direct interfaces, and the ALERT Plus module support all depository PSET BICs listed by the Securities Market Practices Group (SMPG). For an up-to-date list of PSET BICs, see www.swift.com.
The ALERT platform also validates the PSET BIC for ALERT platform Country-Method-Security combinations.
The definitions for the security-type abbreviations in the following tables are:
l EQU—Equities
l Corp FI—Corporate Fixed Income
l Govt FI—Government Fixed Income
l MM—Money Market
l FX/CSH—Foreign Exchange
l DERIV—Derivatives
l OTHER—Other
ALERT Method Available for all Countries Table 3.1 lists the ALERT methods that are available for all countries.
Table 3.1 ALERT Methods Available for all Countries
ALERT Method Description EQU Corp FI Govt FI MM FX/CSH DERIV OTHER
CASH Cash X X X X X X X
CEDEL Clearstream Banking Luxembourg X X X X
EURO_CLEAR Euroclear Bank X X X X
PHYSICAL Physical X X X X
UNIVERSAL Universal X X X X
Note
When there is no PSET BIC available for a market, such as for the Georgia market, you can use the UNIVERSAL method.
3. ALERT Methods 19 ALERT Common Reference Data
ALERT Country Codes for CLS Method Table 3.2 lists the valid Country-Security-Method (CSM) codes for the Continuous Linked Settlement (CLS) Bank International method and FX security type. The CSM code format is xx-F/X-CLS, where xx = the Country Code.
Table 3.2 Valid CSM Codes for the CLS Method and FX Security Type
Country Country Code
ANDORRA AD
AUSTRALIA AU
AUSTRIA AT
BELGIUM BE
CANADA CA
CYPRUS CY
DENMARK DK
EUROPE EU
ESTONIA EE
FINLAND FI
FRANCE FR
GERMANY DE
GREECE GR
HOLY SEE (VATICAN CITY STATE) VA
HONG KONG HK
IRELAND IE
ISRAEL IL
ITALY IT
JAPAN JP
KOREA, SOUTH KR
LITHUANIA LT
LUXEMBOURG LU
MALTA MT
MEXICO MX
MONACO MC
MONTENEGRO ME
ALERT Country Codes for CLS Method 20 ALERT Common Reference Data
Table 3.2 Valid CSM Codes for the CLS Method and FX Security Type (continued)
Country Country Code
THE NETHERLANDS NL
NEW ZEALAND NZ
NORWAY NO
PORTUGAL PT
SAN MARINO SM
SINGAPORE SG
SLOVAKIA SK
SLOVENIA SI
SOUTH AFRICA ZA
SPAIN ES
SWEDEN SE
SWITZERLAND CH
UNITED KINGDOM GB
UNITED STATES US
For a list of eligible currency codes for CLS, go to www.cls-group.com/About/Pages/default.aspx.
ALERT Methods by Country of Settlement The next table lists ALERT methods by country of settlement. For an up-to-date list of PSET BICs associated with the depositories listed in this table, go to http://smpg.webexone.com/default.asp?link.
ALERT Methods by Country of Settlement Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
ARGENTINA AR X X X CRYL Central de Registracion y Liquidacion de Titulos Publicos
ARGENTINA AR X X X X CVSA Caja de Valores S.A.
AUSTRALIA AU X X X X AUSTRACL Austraclear EAR Limited
ALERT Methods by Country of Settlement 21 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
AUSTRALIA AU X X CHESS Clearing House Electronic Subregister System
AUSTRIA AT X X X X X OKB_ag Oesterreichische Kontrollbank AG
BAHRAIN BH X X X X X BSE Bahrain Stock Exchange
BANGLADE BD X CBB Central Bank of SH Bangladesh
BANGLADE BD X X X X DSE Dhaka Stock SH Exchange LTD
BARBADOS BB X X BCSD Barbados Central Securities Depository
BELGIUM BE X X X X BNB The Banque Nationale de Belgique/National Bank van België
BELGIUM BE X X X X EURONEX Euronext TSBI Belgium-SBI
BENIN BJ X X DCBRBENI Dépositaire N Central/Banque de Reglement
BERMUDA B X X X X BMSE Bermuda Stock M Exchange LTD
BOLIVIA BO X X X X BBV Bolsa Boliviana de Valores S.A.
ALERT Methods by Country of Settlement 22 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
BOSNIA BA X X X X X CBBSBA22 Sarajevo & Banja AND Luka CSD HERZEGOV INIA
BOTSWANA B X X X X BOSE Bostwana Stock W Exchange
BOTSWANA B X X BOB Bank of Botswana W
BRAZIL BR X X BOVESPA Compnhia Brasilieira de Liquidacoa e Custodia
BRAZIL BR X X X CETIP Center for the Custody and Financial Settlement of Securities
BRAZIL BR X X X SELIC Special Settlement and Custody System
BULGARIA BG X X X BUNB Bulgarian National Bank
BULGARIA BG X X X X CDAD Tzentralen Depozitar AD
BURKINA BF X X DCBRBUR Dépositaire FASO K Central/Banque de Règlement (DCBR Burkina Faso)
CANADA CA X X X X X CDS The Canadian Depository for Securities Limited
ALERT Methods by Country of Settlement 23 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
CHILE CL X X X X X DCVSA Depósito Central de Valores S.A.
CHINA (B C X X X X SHANGHAI Shanghai Shares in N Securities Central USD and A Clearing & Shares in Registering RMB) Corporation
CHINA (A X X X SHANGHAI Shanghai Shares in Securities Central CNY) Clearing & Registering Corporation
CHINA C X X X X X SHCH Shanghai (Direct N Clearing House Access) Co.
CHINA C X X X X SHCH Shanghai (Bond N Clearing House Connect Co. Trades)
CHINA (B C X X X SHENZHE CHINA (B Shares Shares in N N in HKD HKD
CHINA (A C X X SHENZHE Shenzhen Shares in N N Clearing House RMB) Co.
CHINA C X X CCDCCB China Central (Direct N Depository & Access) Clearing Co Ltd.
CHINA C X CCDCCB China Central (Bond N Depository & Connect Clearing Co Ltd. Trades)
ALERT Methods by Country of Settlement 24 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
CHINA C X X CMU Central N Moneymarkets Unit Hong Kong Monetary Authority
CHINA A C X CMU Central N Moneymarkets Unit Hong Kong Monetary Authority
CHINA C X CCASS Hong Kong N Securities Clearing Company Limited
CHINA C X CCASS Hong Kong (SPSA) N Securities Clearing Company Limited
CLEARSTR EU X X X X X CEDEL Clearstream EAM Banking Luxembourg
COLOMBIA C X X X DCV Deposito Central O de Valores
COLOMBIA C X X X X X DECEVAL Deposito O Centralizado de Valores
COSTA C X X X X X CEVAL Central de RICA R Valores, S.A.
COTE CI X X X X BRVI Bourse Regionale D’IVOIRE des Valeurs Immobilieres S.A.
ALERT Methods by Country of Settlement 25 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
CROATIA H X X X X SDA Sredisnja R Depozitarna Agencija d.d.
CYPRUS CY X X X X X CYPSE Cyprus Stock Exchange - Clearing and Settlement
CZECH CZ X X CNB Czech National REPUBLIC Bank (TKD System)
CZECH CZ X X X X UNIVYC UNIVYC PLC REPUBLIC
DENMARK DK X X X X X VP VP A/S - the Danish Securities Centre
DOMINICAN D X X X X X CEVALDO Central de REPUBLIC O M Valores Dominicana C Pora
ECUADOR EC X X X X X DECEVALE Deposito Centralizado de Valores
EGYPT EG X X CBEGYPT Central Bank of Egypt
EGYPT EG X X X X EGYPTCSD Misr for Clearing, Settlement and Depository
EL SV X X X X X CDV Central de SALVADOR Deposito de Valores de El Salvador SA de CV
ALERT Methods by Country of Settlement 26 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
ESTONIA EE X X X X X LVLCD Lietuvos Centrinio Vertybiniu Popieriu Depozitoriumo
EUROCLEA EU X X X X X EURO_ Euroclear Bank R CLEAR
FINLAND FI X X X X X APC Finnish Central Securities Depository Ltd
FRANCE FR X X X X X EUROFRA Euroclear NSBI France-SBI
GERMANY DE X X X X X CLEARGER Clearstream Banking Frankfurt
GHANA G X X X X BAG Bank of Ghana H
GREECE G X X X BOG Bank of Greece R
GREECE G X X X X GREECEC Central Securities R SD Depository S.A.
GUATEMAL GT X X X X X GUATBVN Bolsa de Valores A Nacional SA
GUATEMAL GT X X X X GUATCBSA Corporation A Bursatil SA
GUINEA G X X DCBRGUIN Dépositaire BISSAU W EA Central/Banque de Règlement (DCBR Guinea Bissau)
ALERT Methods by Country of Settlement 27 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
HONDURAS H X X X X CEHVAL Central N Hondurena de Valores y Liquidacion
HONG C X X CCASS Hong Kong KONG (non N Securities SPSA Clearing accounts) Company Limited
HONG C X CCASS Hong Kong KONG N Securities (SPSA Clearing accounts) Company Limited
HONG HK X CCASS Hong Kong KONG Securities (Standard Clearing Equities) Company Limited
HONG X X CCDCCB China Central KONG (Bond Depository & Connect in Clearing Co Ltd. CNH)
HONG X CCDCCB China Central KONG (Bond Depository & Connect in Clearing Co Ltd. CNY)
HONG HK X X X X CMU Central KONG Moneymarkets (Standard Unit Hong Kong SSIs) Monetary Authority
HONG HK X X X X CMU Central KONG (Dim Moneymarkets Sum Bonds Unit Hong Kong in CNH) Monetary Authority
ALERT Methods by Country of Settlement 28 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
HONG HK X X X SHCH Shanghai KONG (Bond Clearing House Connect in Co. CNH)
HONG HK X X SHCH Shanghai KONG (Bond Clearing House Connect in Co. CNY)
HONG HK X SHANGHAI Shanghai KONG Securities Central (Connect for Clearing & Southbound Registering HKD Corporation Securities and Private Fund Management (PFM) license)
HONG HK X SHENZHE Shenzhen KONG (Stock N Clearing House Connect for Co. Southbound HKD Securities and Private Fund Management (PFM) license)
HUNGARY H X X X X X KELER Központi U Elszámolóház és Értéktár Rt
ICELAND IS X X X X X VBSI Verðbréfaskránin g Íslands HF, Icelandic Securities Depository Ltd
ALERT Methods by Country of Settlement 29 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
ICELAND IS X X X X VBM Icelandic Securities Depository Ltd
ICELAND IS X X X X LVLCD Latvijas Centralais Depozitarijs
INDIA IN X X X INCSD Central Depository Services Limited (CDS)
INDIA IN X X X X X NSDL National Securities Depository Ltd
INDIA IN X X X RBI The Reserve Bank of India
INDONESIA ID X X X BIND Bank Indonesia
INDONESIA ID X X X X X KSEI PT Kustodian Sentral Efek Indonesia
IRELAND IE X X X X X CREST Euroclear UK and Ireland LTD
IRELAND IE X X X IRCLEAR Euroclear Bank on behalf of Central Bank of Ireland
ISRAEL IL X X X X X ISTASE TASE Clearing house
ITALY IT X X X X X MONLETOL Monte Titoli spa
JAMAICA JM X X X X X JCSD Jamaica Central Securities Depository
ALERT Methods by Country of Settlement 30 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
JAPAN JP X X X BOJ_NET The Bank of Japan
JAPAN JP X X X X JASDEC Japan Securities Depository Centre
JORDAN JO X X X BOJ Central Bank of Jordan
JORDAN JO X X X X X SDC Securities Depository Center
KAZAKHST KZ X X X X X KZCDS The Central AN Depository of Securities
KENYA KE X X X X X CBK Central Bank of Kenya - CDS
KENYA KE X X NSE Nairobi+C126 Stock Exchange
KOREA, KR X X X X X KSCC Korea Securities SOUTH Depository
KUWAIT K X X X X KWCC Kuwait Clearing W Company S.A.K.
LATVIA LV X X X X X LVLCD Lietuvos Centrinio Vertybiniu Popieriu Depozitoriumo
LEBANON LB X X X BDL Banque du Liban
ALERT Methods by Country of Settlement 31 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
LEBANON LB X X X X X CCCFLME Custodian and Clearing Centre of Financial Instruments for Lebanon and the Middle East
LIECHTENS LI X X X X SEGA SEGAINTERSET TEIN TLE AG
LIECHTENS LI X X X X SEGAT2S SEGAINTERSET TEIN TLE AG T2S
LITHUANIA LT X X X X X LVLCD Lietuvos Centrinio Vertybiniu Popieriu Depozitoriumo
LUXEMBOU LU X X X X X CEDEL Clearstream RG Banking Luxembourg
LUXEMBOU LU X X X X X LUXCSD LuxCSD S.A. RG
LUXEMBOU LU X X X VPL VP LUX RG
MACEDONI M X X X X MKCSD Central Securities A K Depository AD Skopje
MAURITIUS MU X X X BOMCDS Bank of Mauritius
MAURITIUS M X X X X MAUCDS Central U Depository & Settlement Co. Ltd
MALAWI M X X X X X MSE Malawi Central W Securities Depository
ALERT Methods by Country of Settlement 32 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
MALAYSIA M X X X X BNM Bank Negara Y Malaysia
MALAYSIA M X X X X SCANS Malaysian Central Y Depository Sdn Bhd
MALI ML X X DCBRMALI Dépositaire Central/Banque de Règlement
MALTA M X X X X MALTACDS The Central T Securities Depository
MAURITIUS MU X X X BOMCDS Bank of Mauritius
MAURITIUS M X X X X MAUCDS Central U Depository & Settlement Co. Ltd
MEXICO M X X X X X INDEVAL S.D. INDEVAL, X S.A. DE C.V.
MOROCCO M X X X X MAROCLE Maroclear A AR
NAMIBIA NA X X X X NAMSE Namibian Stock Exchange
NETHERLA NL X X X X X NECIGEF Euroclear NDS, THE Netherlands-SBI (Instructions settling under the SLAB system - non- resident Dutch funds/clients)
ALERT Methods by Country of Settlement 33 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
NETHERLA NL X X X X X NECIGEFS Euroclear NDS, THE BI NetherlandsSBI (Instructions settling under the SBI system - Dutch residents)
NEW NZ X X FASTER New Zealand ZEALAND Stock Exchange
NEW NZ X X X X X NZCSD New Zealand ZEALAND Central Securities Depository
NEW NZ X X X X X NZX New Zealand Stock ZEALAND Exchange Limited
NICARAGU NI X X X X X CENIVAL Central A Nicaraguense de Valores
NIGER NE X X DCBRNIGE Dépositaire R Central/Banque de Règlement
NIGERIA N X CBN Central Bank of G Nigeria
NIGERIA N X X X X CSCS Central Securities G Clearing System Ltd
NORWAY N X X X X X VPS Verdipapirsentral O en
OMAN O X X X X MDSRC The Muscat M Depository and Securities Registration Company
ALERT Methods by Country of Settlement 34 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
PAKISTAN PK X X X X PAKCDS Central Depository Company of Pakistan Ltd.
PAKISTAN PK X X X PAKSB The State Bank of Pakistan
PALESTINIA PS X X X X PSECDS Clearing, N Depository and TERRITOR Settlement Y, Department OCCUPIED
PANAMA PA X X X X LATINCLE Central AR Latinoamericana de Valores, S. A.
PARAGUAY PY X X X X X BVPASA Bolsa de Valores y Productos de Asuncion SA
PERU PE X X X X X CAVAL Caja de Valores y Liquidaciones
PHILIPPINE PH X PBTR Bureau the S Treasury
PHILIPPINE PH X X X X X PCD Philippine Central S Depository, Inc.
POLAND PL X X NBP National Bank of Poland
POLAND PL X X X X PLKDPW Krajowy Depozyt Papierow Wartosciowych
ALERT Methods by Country of Settlement 35 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
PORTUGAL PT X X BPCOMD Banco de Portugal Credit Operations and Markets Department
PORTUGAL PT X X X X CAMBIUM Interbolsa
PORTUGAL PT X X X X PEXSETTL PEXsettle E
QATAR QA X X X X DSM Doha Securities Market
ROMANIA R X X X X X DCSA Depozitarul O Centrum S.A.
ROMANIA R X X X X X DCSAT2S Depozitarul O Centrum S.A. T2S
ROMANIA R X X X X NBO National Bank of O Romania
RUSSIAN R X X X X NDC National FEDERATIO U Settlement N Depository
RWANDA R X X X X X NBR National Bank of W Rwanda
SAUDI SA X X X TSSM Tadawul Saudi ARABIA Stock Market
SENEGAL SN X X DCBRSEN Dépositaire EGAL Central/Banque de Règlement
SERBIA RS X X X X CSDC Central Securities Depository and Clearing House
ALERT Methods by Country of Settlement 36 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
SINGAPORE SG X X X MAS The Monetary Authority of Singapore
SINGAPORE SG X X X X SCCS The Central Depository (Pte) Limited
SLOVAKIA SK X X X X X SCP Centralny Depozitar Cennych Papierov SR, A.S.
SLOVENIA SI X X X X X KDD Centralna Klirinsko Depotna Druzba d.d.
SOUTH ZA X X X X JSE STRATE Ltd AFRICA
SPAIN ES X X X X X IBERCLEA Iberclear R
SRI LANKA LK X X X CBSL Central Bank of Sri Lanka
SRI LANKA LK X X X X CDSLK Central Depository Systems (Pvt) Ltd
SWAZILAND SZ X X X X CBS Central Bank of Swaziland
SWEDEN SE X X X X X VPC Vardepapperscen tralen VPC AB
SWITZERLA C X X X X X SEGA SEGAINTERSET ND H TLE AG T2S
TAIWAN T X X X CBC Central Bank of W China
ALERT Methods by Country of Settlement 37 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
TAIWAN T X X X X TSCDC Taiwan Securities W Central Depository Co., Ltd.
TANZANIA TZ X X X X X DESSE Dar Es Salaam Stock Exchange
THAILAND TH X X X X SET Thailand Securities Depository Co., Ltd. (TSD)
THAILAND TH X SET Thailand (security type Securities Equity Land Depository Co., Rich Ltd. (TSD) Holdings)
TOGO TG X X DCBRTOG Dépositaire O Central/Banque de Règlement
TRINIDAD TT X X CBTT Central Bank of AND TOBAG Trinidad And O Tobago
TRINIDAD TT X X X X TTCSD Trinidad and AND Tobago Central TOBAGO Securities Depository
TUNISIA TN X X X X STICODEV Societe AM Tunisienne Interprofessionnel le pour la Compensation et le Depot des Valeurs Mobilieres
ALERT Methods by Country of Settlement 38 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
TURKEY TR X X X CBT Central Bank of Turkey
TURKEY TR X X X X X IMKB IMKB Takas ve Saklama Bankasi A. S.
TURKEY (for TR X X X X MKK Merkezi Kayit transactions Kurulusu A.S. for MKK safekep t securities)
UGANDA U X X X BOU Bank of Unganda. G
UGANDA U X X X USE Uganda G Securities Exchange
UKRAINE UA X X X NBU National Bank of Ukraine
UKRAINE UA X X X X UKRNDS National Depository of Ukraine
UNITED AE X X X X ADSM Abu Dhabi Stock ARAB Market EMIRATES
UNITED AE X X X X DFM Dubai Financial ARAB Market EMIRATES
UNITED AE X X X X DIFX Dubai ARAB International EMIRATES Financial Exchange Ltd.
UNITED GB X X X X X CREST Euroclear UK and KINGDOM Ireland LTD
ALERT Methods by Country of Settlement 39 ALERT Common Reference Data
Country Cod- EQ- EQ- Cor- CB- Go- TR- MM- Uns- ALERT Depository e U A p A vt A A p Method FI FI
UNITED US X X X X X DTC Depository Trust STATES Company
UNITED US X X X X FEDWIRE1 Federal Reserve STATES Bank
URUGUAY UY X X X BCDU Banco Central del Uruguay
VENEZUEL VE X X X BCV Banco Central de A Venezuela
VENEZUEL VE X X CVV Caja Venezolana A de Valores
VIETNAM VN X X X VISD Vietnam Securities Depository
ZAMBIA Z X X X X BOZ Bank of Zambia M
ZAMBIA Z X X X X LUSECDS LuSE Central M Shares Depository
ZIMBABWE Z X X X X ZSE Zimbabwe Stock W Exchange
1The U.S. FEDWIRE method applies to FX/CSH, and DERIV, in addition to EQU, CORP FI, Govt FI, and MM
ALERT Methods by Country of Settlement 40 ALERT Common Reference Data
4. FUND TYPE
Table 4.1 lists the allowed ALERT platform fund type values.
Table 4.1 Fund Types
Account Type
Bank Portfolio IRA/Keogh
Bank Trust Joint-TIC
Broker/Dealer Joint-WROS
Charitable Living Trust
Common Trust Muni/State
Corporation Mutual Fund
Credit Union Non Erisa
Custodian Partnership-Gen
Erisa/Fiduciary Partnership-Ltd
Erisa/Non-Fiduc Pension Fund
Estate Profit Sharing
Firm Account REIT/Common Trst
Foreign Govt Sole Proprietor
Guardian Testamentary Tst
Individual Trust
Insurance Co. Undisclosed
Investment Adv Uniform Gift
Investment Club US Agcy/Fed Res
4. Fund Type 41 ALERT Common Reference Data
5. ALERT METHODS BY DERIVATIVES CLEARING HOUSES
Table 5.1 lists the ALERT methods by derivatives clearing house. The organizations list in-process exchange traded derivatives.
Table 5.1 ALERT Methods by Derivatives Clearing Houses
Country Code ALERT Description Method
ARGENTINA AR ARGCL Argentina Clearing
AUSTRALIA AU SFECC Sydney Futures Exchange Clearing Corp
BRAZIL BR BMF Brazilian Mercantile and Futures Exchange Clearing
CANADA CA WCE WCE Clearing Corp
CANADA CA CDCC Canada Derivatives Clearing Corp
CANADA CA NGX NGX Clearing
CHINA CN DCEC Dalian Commodity Exchange Clearing
EUROPE EU LCH LCH.Clearnet
GERMANY DE EEXAG EEX AG
GERMANY DE EUREX EUREX CLEARING AG
HONG KONG HK HKSCC Hong Kong Securities Clearing Corp
ITALY IT CCG Cassa di Compensazione e Garanzia
JAPAN JP TSE Tokyo Stock Exchange Clearing
JAPAN JP TIFFE Tokyo International Financial Futures Exchange Clear- ing
JAPAN JP OSE Osaka Securities Exchange Clearing
KOREA, SOUTH KR KRX Korea Exchange Clearing
MALAYSIA MY MDCH Malaysian Derivatives Clearinghouse
MEXICO MX ASIGNA Asigna Clearinghouse
SINGAPORE SG SGXDC Singapore Exchange Derivative Clearing
SOUTH AFRICA ZA SAFCOM South African Futures Exchange Clearing Corp
SPAIN ES MEFF MEFF Clearinghouse
SWEDEN SE STOCKCL Stockholmsborsen Clearing
UNITED GB STOCKLON Stockholmsborsen London Clearing KINGDOM
5. ALERT Methods by Derivatives Clearing Houses 42 ALERT Common Reference Data
Country Code ALERT Description Method
UNITED STATES US BCC BrokerTec Clearing Corp
UNITED STATES US BOTCC Board of Trade Clearing Corp
UNITED STATES US TCC The Clearing Corporation
UNITED STATES US ISE ISE
UNITED STATES US FXMS FX MarketSpace
UNITED STATES US NYCC New York Clearing Corp
UNITED STATES US CME Chicago Mercantile Exchange Clearinghouse
UNITED STATES US NYMEX NY Mercantile Exchange Clearing
UNITED STATES US OCC Options Clearing Corp
5. ALERT Methods by Derivatives Clearing Houses 43 ALERT Common Reference Data
6. SECURITY TYPE CODE (ALERT)
To simplify the tables in this guide, securities are categorized into the security type groups listed in this section, as suggested by the Securities Market Practice Group (SMPG).
Notes
l Contract for difference (CFD) securities can be either ETD or OTC derivatives.
l DTCC strongly recommends that investment managers utilizing the GC Direct interface con- tact the global custodian to ensure any specific securities supported under the security type groups are amended to the appropriate overarching security type, as required by the global custodian.
ALERT Security Type Groups
EQU Corp FI GovtFI MM FX/CSH Deriv Unsp (Equiti (Governm (Money (Foreign (Derivativ (Corpor (Unspecifi es) ent Fixed Market) Exchange/CA es) ate ed) Income) SH) Fixed Income)
EQU COB TRY MMT Not Applicable Not COB Applicable
ADR ABS (Asset AGS BAS CSH (Cash) CDS (Credit OPC (American Backed) (Agencies) (Bankers Default Swap) (Options Depositor Acceptance) Contract) y Receipt)
EQU BKL (Bank FNM (Fannie CER F/X (Foreign CFD (Contract PRC (Equities) Loan) Mae) (Representat Exchange) for Difference) (Premium ive Contract) Certificate)
ETF CMO FRM (Freddie COD MRG (Margin) CMF PRP (Exchang (Collateraliz Mac) (Certificate (Commodity (Private e Traded ed of Deposit) Future) Placement) Fund) Mortgage Obligation)
GDR COB (Corp GNM (Ginnie COM TIM (Time Deposit) EFU REP (Global Bond) Mae) (Comm (Exchange (Repurchase) Depositor Paper) Traded y Receipt) Futures)
6. Security Type Code (ALERT) 44 ALERT Common Reference Data
EQU Corp FI GovtFI MM FX/CSH Deriv Unsp (Equiti (Governm (Money (Foreign (Derivativ (Corpor (Unspecifi es) ent Fixed Market) Exchange/CA es) ate ed) Income) SH) Fixed Income)
EQU COB TRY MMT Not Applicable Not COB Applicable
PRS CON ITS (Indexed FIN (Finance ETD TRS (Premium (Convertible Treasury Transaction) (Exchange (Trans Ship) Shares) Bond) Security) Traded Derivatives)
RTS (Rights) ETO (Exchange Traded Options)
6. Security Type Code (ALERT) 45 ALERT Common Reference Data
EQU Corp FI GovtFI MM FX/CSH Deriv Unsp (Equiti (Governm (Money (Foreign (Derivativ (Corpor (Unspecifi es) ent Fixed Market) Exchange/CA es) ate ed) Income) SH) Fixed Income)
EQU COB TRY MMT Not Applicable Not COB Applicable
UIT (Unit CPN MNB (Muni MMT FXF (FX WAR Investme (Coupons) Bond) (Money Future) (Warrants) nt Trust) Market)
FPA (Face NSD (Non-US REP FXS (FX or Principal Sovereign (Repurchas Swap) or Nominal Debt) e) Amt)
ILB TRY IRF (Interest (Inflation (Treasuries) Rate Future) Linked Bonds)
MBS T-Bills (TBI) - IRS (Interest (Mortgage applies to all Rate Swap) Backed) countries except the United States
NTE OTC (OTC (Notes) Derivatives)
SLA TBA (To Be (Student Announced) Loan)
TBA TRW (Total Return Swap) (To Be Announced)
Alternate Security Types
Alternate Security Types 46 ALERT Common Reference Data
The next table lists alternative security types available on the ALERT platform. These security types support complex markets where there is more than one instruction per account, security, and method combination.
Alternative Security Types Specific to Hong Kong and China Country Codes
l EQU = EQA
l COB = CBA
l TRY = TRA
l MMT = MMA
Additional F/X Security Types Four alternative foreign exchange (FX1-FX4) security types are available for the following markets only:
l Brazil l India
l China l Republic of Korea (KR)
l Hong Kong l Thailand
Alternative Security Types Specific to Hong Kong and China Country Codes 47 ALERT Common Reference Data
Alternative Security Types
EQUALL Corp FI Govt FI MM FX/CSH DER UN IV SP
EQA CBA TRA (Treasuries - MMA (Money Market - FX1 - - (Equities (Corp Alternative) Alternative) (Foreign - Bond - Exchang Alternativ Alternativ e - e) e) Alternativ e)
FX2 (Foreign Exchang e - Alternativ e)
FX3 (Foreign Exchang e - Alternativ e)
FX4 (Foreign Exchang e - Alternativ e)
Additional F/X Security Types 48 ALERT Common Reference Data
7. ALERT CONFIRM RECIPIENT CATEGORY CODE VERSIONS
The process of converting investment managers from version 2.x of Confirm Recipient Category Codes to version 3.0 involved code mapping. It mapped all confirm recipient category codes to confirm recipient codes A through G, as shown in Table 3.1 on page 19.
7 shows the process of converting these codes to the new ALERT platform Confirm Recipient Category Codes version 3.0. You may still see the phased-out legacy-style codes listed in 7.
Confirm Recipient Category Codes Version 2.2 Table 7.1 lists the phased out Version 2.2 codes.
Table 7.1 Confirm Recipient Category Codes Version 2.2 (Phased Out)
Category Code
2.2 Confirm — 1 A
2.2 Confirm — 2 B
2.2 Confirm — 3 C
2.2 Confirm — 4 D
2.2 Confirm — 5 E
2.2 Confirm — 6 F
2.2 Confirm — Telex G
Confirm Recipient Category Codes Version 3.0 Table 7.2 lists the current Version 3.0 codes.
Table 7.2 Confirm Recipient Category Codes Version 2.2 (Phased Out)
Category Code
Customer H
Executing Broker I
Clearing Broker J
Global Custodian K
Sub Custodian L
Interested Party M
I/M - Beneficial Owner AG
7. ALERT Confirm Recipient Category Code Versions 49 ALERT Common Reference Data
8. ACCOUNT TYPE
There are five allowed table lists the allowed account type:
l CASH
l MARGIN
l OTHER
l PRIME BROKER
l SHORT
8. Account Type 50 ALERT Common Reference Data
9. AFFIRMING PARTY
There are four allowed affirming party values.
l Institution
l All Agents
l Institution & All Agents
l Interested Party
9. Affirming Party 51 FOR MORE Information Email DTCC Learning at:
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www.dtcclearning.com