Webcast Series 2009 featuring... DTCC s New Transfer Capabilities. July 23, 2009
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1 Webcast Series 2009 featuring... DTCC s New Transfer Capabilities July 23, 2009
2 Welcome Introduction Ken Larsen Vice President
3 Keep Webcast to 60 minutes Ask a question Click on the Q&A window in the lower right hand portion of the screen Type your question into the dialog box Click the Send button Following today s Webcast Redirected to a brief survey Link via to access a recording of today s Webcast If you experience any technical difficulties during the presentation Submit a question through the Q&A Meeting Logistics Contact WebEx Technical Support at
4 Agenda Barbara Browne Boston Financial Vice President, NSCC Support Services Mutual Fund Transfers through the DTCC Patty Agnew DST Systems Applications Analyst Consultant, Home Office Services DST's Integration Plan Scott Brady Merrill Lynch Director, Asset Transition Services Impact to Merrill Lynch / Intermediary Community
5 Mutual Fund Transfers through the DTCC Barbara Browne Vice President, NSCC Support Services
6 ICI Broker/Dealer Advisory Committee Mission (BDAC) To provide a forum to identify ways to improve the distribution, operational processing, servicing and support of mutual fund products to better service the needs of the industry and mutual fund shareholders
7 Background and Business Need BDAC Transfers Working Group Formed in 2006 Approximate Current State Automated Manual 75% Automated 25% Transfers of Retirement Assets (ToRA) Automated Customer Account Transfer Service (ACATS) Networking Manual Labor intensive Lengthy processing cycles Significant source of client dissatisfaction
8 Call for Industry Standardization Need for single transfer system to meet industry needs Minimize programming efforts to simplify adoption DTCC leveraged ACATS and Fund/SERV systems Existing systems and existing users Benefits Built in controls around tracking transfers Reduces processing cycle time Improves overall customer experience Limits market exposure
9 Automating In Kind Transfers FIRM initiated retirement & non retirement account re registrations that move shares either: From the firm to existing fund direct accounts From fund direct accounts to the firm Firm initiates transfers through ACATS Fund Company has two roles Processes re registration instructions Acts as a Contra Party to the transfer
10 NSCC Rule Changes Special task force of Transfers Working Group was formed to assist DTCC legal with NSCC rule modifications NSCC Rule 52 was amended to accommodate the transfer and re registration of shares between fund companies and financial intermediaries Similar provisions contained in NSCC rules for other services Rule 52 Section 46 covers Fund/SERV & ToRA Rule 50 Section 17 covers ACATS
11 Fund Participation Requirements To use the ACATS Fund/SERV Account Transfer Capability, a fund company must: Contact DTCC to sign up Ensure ACATS Fund/SERV eligibility of Security Issue IDs (CUSIP) Work with service provider to implement necessary changes
12 What s Next FUND initiated in kind transfers, including possible revisions to the ToRA service Complete asset liquidation upon transfer between broker/dealer, bank, and mutual fund companies
13 To Acquire Detailed Information Contact Information Through your DTCC Relationship Manager DTCC Wealth Management Services (212) Website: Contact Information Through your Boston Financial Relationship Manager or NSCC Administrator
14 DST s Enhancement To Support ACATS In Kind Transfers Patty Agnew Applications Analyst Consultant, Home Office Services
15 DST Enhancement Project Home Office Services (HOS) Development Team Project Kick off August, 2008 Participated in Transfers Working Group Meetings Participated in DTCC Best Practices Discussions Worked with DST Client Sponsors throughout the Project Lifecycle
16 Traditional vs. In Kind Transfer Between Two Firms Transfer Between Firm and Fund Company Re registration of Mutual Fund Position No Settlement Phase 1 Firm Initiated ACATS In Kind Transfers Fund to Firm Transfer ( Firm Pull ) Firm to Fund Transfer ( Firm Push ) Retirement and Non Retirement Accounts
17 TA2000 Options In Kind Transfers Existing ACATS Option on NSCC Options Screen (Required) New Options on NSCC Cross Reference Screen (Required Allow ACATS Fund to Firm Allow ACATS Firm to Fund Allow ToRA ACATS Firm to Fund (Future Functionality) Available via Existing PowerSelect Query for R11 Table
18 TA2000 Options In Kind Transfers New Options On Social Code Exclusion Screen (Optional) ACATS Fund to Firm Transfers ACATS Firm to Fund Transfers New On Request Job (ZMR761) Available to Copy Exclusion Values Across Financial Institutions
19 DTCC Layout Changes In Kind Transfers Customer SSN/EIN Number ACATS Account Type Values Defined by DTCC Gift/Donation Indicator ʺ0ʺ Not a Gift/Donation ʺ1ʺ Gift or Donation Viewable in the Unformatted Data Screen of the DST SmartDesk NSCC Feature and the NSCC Desktop
20 Identifying In Kind Transfers on the ACATS 018 Record Fund Participant Number for the CUSIP in Delivering Firm Field on 018 Record = Fund to Firm Transfer Fund Participant Number for the CUSIP in Receiving Firm Field on 018 Record = Firm to Fund Transfer Fund Participant Number for the CUSIP Not in Delivering or Receiving Firm Field on 018 Record = Firm to Firm Transfer
21 Identifying In Kind Transfers on the NSCC Transaction Table Firm to Firm Transfer ( 0 ) Fund to Firm Transfer ( 1 ) ToRA Firm to Fund Transfer ( 2 ) (Future Functionality) Firm to Fund Transfer ( 3 ) Not Applicable ( Z ) Available via Existing PowerSelect Query for AU7 Table
22 Edits for In Kind Transfers Hard Reject Edits (For example: UFILE ACATS option set to no, Invalid Firm Number, Account Coded Stop Transfer ) Soft Reject Edits (For example: Delivering or Receiving Account Not Found, Insufficient Shares) Transaction Codes/Suffixes for Non Tax Reportable Transactions
23 Scenario: Fund to Firm Transfer Firm Initiated ʺPullʺ Receiving Party Firm Delivering Party Fund Shares Held in a Fund Prototype Retirement or Non Retirement Account Directly with the Fund (Matrix Level 0 or 4) Shares Can Be Transferred to a New or Existing Account
24 New Edits for Fund to Firm Transfers UFID Allow ACATS Fund to Firm Option for Submitting Firm Delivering Account Matrix Level of 0 or 4 SSN on Delivering Account Matches Customer SSN Field on 018 Record (or Matches SSN on Receiving Account) DST Social Code on Delivering Account Not Excluded for Submitting Firm If Delivering Account is Fund Prototype Retirement Account ACATS Account Type on 018 Record and NSCC Social Code (Converted from DST Social Code on Account) Must be Valid Combination (as Defined in the BRD) Delivering Account Cannot be Trust Networked If Receiving Account is Trust Networked, Only the Trust (Not the Dealer) Can Submit a Fund to Firm Transfer
25 Scenario: Firm to Fund Transfer Firm Initiated ʺPushʺ Delivering Party Firm Receiving Party Fund Shares Held in a Retirement or Non Retirement Account with the Firm Shares Can Only Be Transferred to an Existing Account (Matrix Level 0 or 4)
26 New Edits for Firm to Fund Transfers UFID Allow ACATS Firm to Fund Option for Submitting Firm Receiving Account Must Exist, With Matrix Level of 0 or 4 SSN on Receiving Account Matches Customer SSN Field on 018 Record, or Matches SSN on Delivering Account, or Gift Indicator Must Equal 1 DST Social Code on Receiving Account Not Excluded for Firm If Receiving Account is Fund Prototype Retirement Account ACATS Account Type on 018 Record and NSCC Social Code (Converted from DST Social Code on Account) Must be Valid Combination (as Defined in the BRD) Receiving Account Cannot be Trust Networked If Delivering Account is Trust Networked, Only the Trust (Not the Dealer) Can Submit a Firm to Fund Transfer
27 Modification to ACATS Reporting ACATS Rejects Displayed by Receiving Firm Number New Field Added for Delivering Firm Number Populated for All ACATS Transactions
28 Activation Letter (Required by DTCC) Work with Your DTCC Relationship Manager UFILE ACATS Option (Required) UFID Options (Required) Allow ACATS Fund to Firm Allow ACATS Firm to Fund UFID Social Code Exclusions (Optional) ACATS Fund to Firm Transfers ACATS Firm to Fund Transfers Implementation Steps
29 Project Schedule and References Installed to DTJ Platform 7/10/09 Installing to Production 7/24/09 Customer Center Business Requirements/Design Document Proposed Systems Change Document for JMU554 MFB Test Scripts Job Profile ZMR761 Social Code Exclusion Copy Job
30 Automating Mutual Fund Transfers Scott Brady Merrill Lynch Director, Asset Transition Services
31 Transfer Process Current State Firm to Firm ACATS Transfers Industry standard process Straight through processing Full transfer settlement time frame (4 5 business days) Partial transfer settlement time frame (3 4 business days) Inconsistent and lengthy processing timeframes Transferring mutual funds to Broker Dealers Transferring mutual funds to Mutual Fund Families
32 Transfer Process Mutual Funds Fund specific processing requirements Fax Original documents Overnight mail Varying document certification requirements Signature guarantee Varying signature guarantee stamps Corporate resolution
33 Merrill Lynch Participation Actively leveraging functionality since May 2009 Successfully tested and activated several relationships Consistent settlement timeframes (3 4 business days) Large reduction in manual letters Tracking mutual fund family usage Participating in testing Fund family activation
34 Benefits Firms and Mutual Funds Allows for the systematic delivery and receipt of assets using standard industry methodology Straight through processing Consistent process rules and requirements Leveraging mature industry processes Promotes asset portability Standardized settlement times Consistent client expectations NSCC Rule 52
35 Best Practices ACATS Fund/SERV activation Reduce rejects for broker to broker transfers Enables PTF use Maximize use of the PTF transaction Review entire product line to ensure all funds are turned on for the service Avoid differing transfer types based upon CUSIP
36 Questions Ken Larsen Vice President
37 A Call to Action Get additional information DTCC Relationship Manger DTCC website ( Implementation Support Boston Financial / DST Relationship Manager NSCC Administrator Set up new options on TA2000 Ensure that all CUSIPS are ACATS and Fund/SERV eligible Maximize use of PTF across all your funds
38 Thank You
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