托管服务

The Depository Trust Company’s (直接转矩’s) 托管服务 enables participants to outsource the safekeeping and processing of physical securities that are not or cannot be held through 直接转矩’s core depository services. Custody’s family of products includes the Branch Deposit Service, New York Window physical clearance and settlement services, Custody Reorganization and Restricted Deposit 服务.

• vns6060威尼斯城官网

  透过保管服务, 直接转矩 participants can outsource to 直接转矩 the handling and servicing of physical securities that are not or cannot be held through its regular depository service. The 托管服务 allows participants to engage voluntarily in the Branch Deposit Service, Restricted Deposit Service and New York Window service (see below for more detail) – which enables participants to retain control of these securities without having to handle and secure them themselves.

  Specialized deposit functions are also available to users of 直接转矩’s 存款 Service.

  Participants can utilize the 托管服务 for securities such as customer-registered custodial assets, restricted shares and certain securities not eligible for settlement at 直接转矩, 包括认证的货币市场工具, 私募和有限合伙权益.

• 谁可以使用该服务

  所有直接转矩参与者都有资格使用该服务.

• 好处

  羁押服务:

  • Reduces the high fixed costs for participants associated with safekeeping and handling of securities, 包括保险库空间, 设备及维修费用.
  • Reduces insurance costs associated with safekeeping and shipping securities.
  • 降低风险.
  • Provides availability of detailed information on certificates held through the service.
  • Provides enhanced system reliability, including via 直接转矩’s dedicated backup site.
  • Provides choice of interface through File Transfer Protocol (FTP), Mainframe Dual Host (MDH) or Participant Browser System (PBS).
  • Provides availability of images of certificates and documents held in custody via D直接转矩's Image Viewer function via PBS system or Imaging Drop-Box Solution.
  • Provides for availability of end-of-day positions and activity reports on the same files as other 直接转矩 positions and activities.

• 服务如何运作

  存款: Participants deposit securities using 直接转矩’s PBS function CUST, 通过CCF存款文件传输, 或通过MDH. 一旦证书到达直接转矩, 证券的处理 staff thoroughly examines them all, performs a negotiability check and verifies data received from the depositing participant firm.

  Depositing participants have the option to request an SIC (Securities Information Center) verification, by which 直接转矩 provides a file to SIC using the participant's FINS number and access code. On receipt of the return file, 直接转矩 can verify “potential hits” with the transfer agent.

  Each deposit received at 直接转矩 is imaged as a unit of work, 哪一个可以包含多个证书和文件. 在证书或文件的有效期内, the participant may retrieve the image via PBS or an electronic “drop-box” to be picked up by the participant's processing system or service bureau.

  取款:撤销证书, participants in the New York City area can arrange for pick-up from 直接转矩; for those outside of New York City, 直接转矩通过隔夜航空快递运送证书.

  国内问题, 直接转矩 generally sends securities to the transfer agent on the same day after receiving the participant's instructions. 同时进行老龄转移随访.

  托管重整服务: This service supports securities on deposit in the 托管服务 that are subject to reorganization events, 包括赎回, 强制性和自愿性活动.

  纽约之窗(NYW): NYW provides clearance and settlement service for physical securities and related paperwork. The service allows firms to clear and settle trades outside 直接转矩’s regular book-entry settlement services. Trades that can clear through the NYW include securities that are not 直接转矩-eligible, restricted securities and mutual fund re-登记 letters.

  限制存款服务(RDS): RDS allows participants to deposit and effect a transfer (including working with the transfer agent for the removal of restrictive legends) on previously restricted securities. The RDS unit processes full sales, partial sales, gifts, legend removals and breakdowns.

  PBS上的CUST功能: This function provides update capabilities for the various services offered through the 托管服务, 以及:

  • 存放证券的证书详情, 包括面值, 数量, 证书编号(包括前缀), 登记, 可转让性指示器, 转移代理信息.
  • An inquiry screen with complete historical details of Custody activities.
  • The ability to retrieve certificate and document images.
  • Updates to customer account numbers singly and globally.

• 了解更多信息

  要获取更多信息，请点击 在这里.