historical balances & transactions - brown brothers ... 2014 historical balances & | user...

Historical

Balances & Transactions

User Guide

February 2014 Historical Balances & Transactions | User Guide

BBH WORLDVIEW® SUPPORT

BBH Global Client Support

For specific product support for all BBH web-based applications, contact your BBH Relationship Manager, or contact Brown Brothers Harriman's Client Support at one of the following numbers.

International Toll Free From:

Belgium, China, France, Germany, Ireland, Luxembourg, Poland, Switzerland, United Kingdom 00-800-4-224-1818

Hong Kong 001-800-4-224-1818

Japan 010-800-4-224-1818

From Inside the US 1-800-285-5093

International Direct Dial from all Locations 1-617-772-6150

Client Support Center email: [email protected]

General Inquiries For product access or specific questions regarding ActionView, please contact your BBH Relationship Manager.

© Brown Brothers Harriman & Co., 2014 All rights reserved. You may not copy, republish, redistribute, transmit, participate in the transmission of, create derivatives of, alter, edit or exploit in any manner this material, without the express written permission of Brown Brothers Harriman & Co.

Brown Brothers Harriman & Co. (the “Bank”) provides the enclosed information as a compilation of industry sources. It has not been independently verified and is inherently subject to change. This information is not offered as financial, investment, tax or legal advice nor should it be construed as a recommendation to invest or not to invest in any country, whether covered or not. The services of an appropriate professional should be sought in connection with such matters. The Bank does not make any representation of warranty as to the accuracy or completeness of the information provided.

mailto:[email protected]


TABLE OF CONTENTS

1. GETTING STARTED .................................................................................................................... 5

2. FUNCTIONALITY ....................................................................................................................... 6

NAVIGATION BAR ................................................................................................................................. 6

3. HISTORICAL BALANCES FILTER SCREEN.......................................................................................... 7

USD EQUIVALENT FOR HISTORICAL BALANCES ........................................................................................ 10 DRILL-DOWN FROM HISTORICAL BALANCE SUMMARY .............................................................................. 11 HISTORICAL BALANCES PDF ................................................................................................................. 12 HISTORICAL TRANSACTIONS PDF .......................................................................................................... 13 HISTORICAL TRANSACTIONS.................................................................................................................. 14 HISTORICAL TRANSACTIONS FIELD DEFINITION ........................................................................................ 15 FILTER OPTIONS ................................................................................................................................. 16 HISTORICAL TRANSACTION SUMMARY.................................................................................................... 18 HISTORICAL TRANSACTION DETAIL SCREEN ............................................................................................. 19 SAVE SELECTIONS ............................................................................................................................... 20 EXPORT FIELDS ................................................................................................................................... 20 RUN FAVORITE REPORT ....................................................................................................................... 22 EDIT FAVORITES ................................................................................................................................. 23

4. EXPORT ................................................................................................................................ 24

FILE DOWNLOAD ................................................................................................................................ 25

5. INCOME AND PRINCIPAL .......................................................................................................... 26

6. SUBSCRIPTION SERVICE ........................................................................................................... 27

SUBSCRIPTION SERVICE NEW REQUEST .................................................................................................. 28 DATA FILE DETAILS ............................................................................................................................. 29 NEW REQUEST DELIVERY DETAILS ......................................................................................................... 30 NEW REQUEST DELIVERY DETAILS FIELD DEFINITIONS ............................................................................... 31 VIEW SUBSCRIPTION REPORTS .............................................................................................................. 31

7. APPENDIX A: TRANSACTION DETAIL DATA ELEMENTS .................................................................... 32

8. APPENDIX B: ADVANCED REPORTING ......................................................................................... 36

9. GLOSSARY ............................................................................................................................. 40


© 2014 Brown Brothers Harriman & Co. Confidential & Proprietary. Not to be reproduced without the explicit consent of BBH & Co.

INTRODUCTION

The Historical Cash Balances and Transactions product is an integrated web-based interface for clients to view historical cash balances and transactions on-line. The product allows users to create standardized reports, export desired information and set predefined filters and sorts. Twenty-four months of historical balance and transaction data is available.

The product offers three different cash reporting options:

Balance Reporting

Transaction Summary Reporting

Transaction Detail Reporting

Historical Cash Balances and Transactions will satisfy the following business needs:

Viewing historical account cash balances

Obtaining summary and detail information for cash activity

Performing research, reconciliation and analysis of cash activity

Creating customized reporting using the Favorite Report feature

Exporting cash data for use in external applications such as Excel

Printer friendly view of all reports in PDF format

The purpose of this User Guide is to familiarize the User with the Historical Cash Balances and Transactions product navigation, functionality, to explain its special features and highlight data fields.



1. GETTING STARTED

Historical Cash Balances & Historical Cash Transactions are accessible from the Reporting menu on the BBH WorldView client portal. For detailed instructions on how to access WorldView®, see the WorldView Login User Guide.

From the Reporting Menu, under Cash, click on Historical Balances or Historical Transactions.

https://www.bbh.com/general/bwv_login_userguide.pdf



2. FUNCTIONALITY

This product offers two cash reporting options: Historical Balances: To view historical cash account balances for accounts. This option provides a flexible balance selection screen where the user can request reports of all accounts, specific accounts, specific currencies, or optional filters such as balance amount. All criteria entered can also be saved for use as a Favorite Report or exported to a file. Historical Transactions: Used to view all historical cash transactions or search for specific transactions. Filters for transaction reporting include Transaction Category, Transaction Group, systems reference number, security ID, or transaction amount. All criteria entered can be saved for use as a Favorite Report or exported to a file. Choose either Historical Balances or Historical Transactions. You will be brought to the respective selection screen. Reports can be viewed on-line, printed in PDF, or exported into a CSV format, which can be opened in Excel.

Navigation Bar

Historical Balances – brings the user to the Historical Balances Report. Historical Transactions – brings the user to the Historical Transactions Report. Note: You can navigate between Balance Summary, Transaction Summary and Transaction Detail via hyperlinks and/or action buttons on each screen. User can return to the Historical Balances or Historical Transactions screen from any screen within cash by using links from the cash header. Glossary – opens a new window for easy access to cash reporting terms and status definitions. User Guide – opens a new window to allow user to easily refer to or print this product user guide.



3. HISTORICAL BALANCES FILTER SCREEN

This option provides a view of historical account balances. You can view historical account balances and check float amounts for all your accounts. Historical Balance reporting allows you to react to any unexpected balances and/or overdrafts to avoid risk or exposure. To access Historical Balances, click on the Historical Balances menu option from the Account Access tab. On this screen, you can filter balances by account, currency, date, type or amount. Optional filters are available for Balance Selection and Balance Amount. Historical Balances Screen The Historical Balances screen is shown below. Refer to the next section, Balance Summary, for a complete list of field definitions. Required fields appear on the top half of the screen, and the bottom half are optional filters.



Historical Balances Field Definition

Please Note: If no selections are made, the default values are used. Field Description

Accounts A list box that includes all main account numbers and names that the user is authorized to access. The main account number is the complete 7-digit main account number. One or many accounts can be selected. Accounts are listed by ascending numeric order. To find a specific account, type the 7-digit account number into the text box above the account list. The appropriate account will be highlighted in the list.

All Accounts A checkbox to be used when running a report for all accounts available to the user.

Currency A list box that includes all currency codes for accounts to which the user has access. Currency codes are listed in alphabetical order and one or many codes can be selected. Default: All

View by Account This view will return balances grouped by account number.

View by Currency This view will return balances grouped by currency.

Display Check Float This box will control whether check floats are displayed on the Balance Summary screen.

From Date Date field formatted as mm/dd/yyyy. It is the date on which the user wants balance activity to begin. Default: Previous Business day

To Date Date field formatted as mm/dd/yyyy. It is the date on which the user wants balance activity to end. Default: Previous Business day

Latest Available Date To display the last date for which balances have been loaded. This setting over-rides any date range entered in the From Date and To Date fields.

Balance Selection This selection allows users to view or exclude specific balance types. The following selections apply to Closing Available and Closing Ledger balances.

The drop-down box options are:

All balances

Overdraft Balances

Exclude Zero Balance Accounts

Exclude Accounts with No Activity

From Amount This field is used to enter an amount for a balance range search. Negative numbers are to be entered with a (-) e.g., -5,000.00. This filter will search for the Closing Available Balance amount.

To Amount This field is used to enter an amount for a balance range search. Negative numbers are to be entered with a (-) e.g., -5,000.00. This filter will search for the Closing Available Balance amount.



Historical Balance Summary Once you enter the desired criteria and click Submit, the Balance Summary screen displays all selected dates, accounts, currencies, and balances. There are two possible views for the Balance Summary report:

1. By Account view will display balances grouped by main account;

2. By Currency view will display balances grouped by currency.

By Account View

By Currency View



USD Equivalent for Historical Balances You can view any balance in its USD Equivalent from the Balance Summary screen. This option is located at the top of the summary screen labeled USD Equivalent. By clicking USD Equivalent, the system will convert and display the USD equivalent using the close of business FX rate for the selected date.

Note: This feature is not available if a report is run for Latest Available Date

To return and view balance in the local currency, select Local Currency. This will redisplay the original local currency balances.



Drill-down from Historical Balance Summary On the Balance Summary screen, you can view additional details on an account balance by clicking on the account number hyperlink. This will bring you to the Transaction Summary screen.

The Historical Transaction Summary screen shows transactions listed by Transaction Category and Group. The account balances are included in the summary view of transactions. For each transaction the Transaction Description, Amount, Value Date, and Security ID (if applicable for the transaction) are displayed.



Historical Balances PDF To view a printer-friendly version of the Balances Summary Report, the user can use the PDF option. The report will open in a separate browser window using Adobe Acrobat software installed on the user's PC. To run a PDF report, select Balance Criteria and click Balances PDF.



Historical Transactions PDF To view a printer-friendly version of the Transaction Summary Report, the user can use the PDF option. The report will open in a separate browser window using Adobe Acrobat software installed on the user's PC. To run a PDF report, select Transaction Criteria and click Transactions PDF.



Historical Transactions

The historical transaction selection screen is used to run reports or search for specific transactions. A User can perform a quick review or reconciliation of account activity using the Historical Transactions Summary view. For complete transaction details, drill-down to the Transaction Detail report. To access Historical Transactions, click on the Historical Transactions menu option from the Account Access tab. This will bring you to the Transactions screen.



Historical Transactions Field Definition Field Description

Accounts A list box that includes all main account numbers and names that the user is authorized to access. The main account number is the complete 7-digit main account number. One or many accounts can be selected. Accounts are listed by ascending numeric order. To find a specific account, type the 7-digit account number into the text box above the account list.

All Accounts A checkbox to be used when running a report for all accounts available to the user.

Currency A list box that includes all currency codes for accounts to which the user has access. Currency codes are listed in alphabetical order and one or many codes can be selected. Default: All

From Date Date field formatted as mm/dd/yyyy. It is the date on which the user wants balance activity to begin. Default: Previous Day

To Date Date field formatted as mm/dd/yyyy. It is the date on which the user wants balance activity to end. Default: Previous Day

Latest Available Date To display the last date for which transactions have been loaded. This setting overrides any date range entered in the From Date and To Date fields.

Transaction Category Listed in alphabetical order. Default: All Categories

Transaction Group Listed in alphabetical order. The Transaction Groups are dynamically displayed based on the Transaction Category selected. Default: All Groups

Transaction Reference This allows a user to search a transaction using the reference payment types offered in the list box. Available Transaction Reference types are Check Number, Client Reference Number, and Trans Reference Number.

Security ID This allows a user to search a transaction using the security identifiers offered in the list box. Available security ID types are Custody Security ID, CINS, CUSIP, ISIN, SEDOL, Sicovam, Ticker, and Valoren.

Preferred Security Type This allows a user to select the hierarchy structure in which security identifiers are displayed in the report. For example, if a user chooses ‘CUISP/Sedol/ISIN/CusSecID’ the report will display CUSIP as the security identifier, however if that identifier is not available, the next security identifier will be a Sedol. If Sedol is not available, the next security identifier will be an ISIN, and last security identifier will be the Custody Security ID.

Transaction Amount This field is used to enter an amount for a transaction search. Any transactions that fall between the amount ranges will be returned in the transaction report. This field only accepts positive numbers.

Debit/Credit Indicator To view both Debits and Credits, the user will keep the default Debit/Credit selection. To view or search for only debits, select Debits Only. To search for credits, select Credits Only.



Filter Options Like transaction types are grouped together into Transaction Groups, which are further summarized into Transaction Categories. This allows you to view high-level categories as well as filter on a specific transaction group. Transactions are organized by the categories listed below:

Transaction Category Transaction Group

Foreign Exchange 3rd Party FX

FX Buy

FX Miscellaneous

FX Sell

Income Repatriation

Security Activity Purchase

Sale

Free Item

Securities Lending

Stock Borrow

Mutual Fund Buy

Mutual Fund Sell

Security Activity Miscellaneous

Expense Expense

Shareholder Activity Fund Redemption

Fund Subscription

Shareholder Miscellaneous

Money Movements Wire/Miscellaneous Money Movement

Check

ACH

Deposit

Loan



Transaction Category Transaction Group

Short Term Investments Short Term Purchase

Short Term Redemption/Sale

Short Term Interest

Sweep Returned

Sweep Interest

Sweep Out

Lockbox Lockbox

Adjustment Adjustment

Corporate Actions Corporate Action

Maturity/Redemption Maturity/Redemption

Partial Redemption

Call

Income Accrued Interest on Trade

Dividend

Income Miscellaneous

Interest

Paydown

Tax Reclaim



Historical Transaction Summary Once you enter the desired criteria for Historical Transactions and click Submit, the report displays all transactions and dates selected. The Historical Transaction Summary screen shows transactions sorted by Transaction Category/Group and amount. For each transaction, the Transaction Description, Amount, Value Date, and Security ID (if applicable for the transaction) are displayed.

If a report has multiple pages, click Next Page to move to subsequent pages of the report. To return to the previous page, click Previous Page. To return to the Historical Transactions selection screen click Return.



Historical Transaction Detail Screen

For further information about a transaction, click on the Transaction Category/Group to drill into detail. The Transaction Detail report displays all data elements available for the transaction. If a data element is not reported, the field tag will be visible with no value displayed. For a complete list of data elements, refer to Appendix A.



Save Selections The Save Selections feature is used to create report views for historical balances, historical transactions, and downloads. You are able to run a Favorite Report without having to re-enter criteria. You must always run reports and downloads from a default Favorite. ALL SELECTIONS is the initial system default. To create a new Favorite Report, enter criteria on the Historical Balances or Historical Transactions screen and click Save Selections. You will be brought to the Favorite screen to enter a name, description, and confirm or change the selections made on the previous screen. Note that if the name is NOT changed, you will overwrite the existing Favorite. You must click Save or Save as Default before clicking on Export Fields to choose data elements for the export file.

Export Fields To save export fields with your selections, click Export Fields from the Favorites screen. Select the data elements for the export and click Save.



Your export selections will be saved with your Historical Balances or Historical Transactions Favorite.



Run Favorite Report All saved Favorite Reports are included in the Favorites drop-down list on top of the Historical Balances and Historical Transactions screens. Click on the Favorites dropdown box to select one of the saved reports or downloads. Once you select a Favorite, the screen will automatically refresh with the saved selections. To run a saved Export, choose the appropriate Favorite and click Export to download the saved data elements.



Edit Favorites To edit any reports, click on Edit Favorites from the Historical Balances or Historical Transactions screen. On the Edit Favorites screen, you are able to edit or delete any saved report.

After selecting a Favorite Report radio button and clicking Edit, you are brought to the Favorites screen to make any changes to the report. You can save your changes by clicking Save. You can make changes to export data elements by clicking on Export Fields.



4. EXPORT If you choose Export as the reporting option, you will launch the Data Files Selection screen. On this screen you can select all data fields you want to include in the data file

Field Description

Add Adds field (s) to Selected Fields

Add All Adds all Available Fields

Move Down Moves Selected Fields down in order

Move Up Moves Selected Fields up in order

Remove Removes fields (s) from Selected Fields

Remove All Removes all Selected Fields

Return Returns you to the previous screen

Submit Submits fields and creates data file subscription



File Download Once the download is launched, the box below will display. You can opt to open the file in Excel or save it to a file. Click OK to complete the download process. The file is downloaded in a CSV (Comma Separated Values) format, which is compatible with Excel or other financial applications. If you open a .csv file from Cash Reporting, Excel will automatically launch and load the file. Note: You will need to click the OK button twice in order to open the file or download to your

desktop.

When the download is completed and the spreadsheet is created in Excel, the user has the option to format the spreadsheet according to their preferences.



5. INCOME AND PRINCIPAL

Income and Principal balance amounts are reported separately for accounts specifically structured to report in this manner. Income and Principal are displayed as individual amounts on the balance summary screen. To indicate the type of balance, the word “Principal” is listed under the Currency Code. If an account is split, the other balance (with no indicator) is always Income. The two amounts are displayed separately in a single line item for the account balance.

For the Transaction Summary and Transaction Detail screen, income and principal balances are listed separately. Principal and Income transactions are grouped together and only principal transactions have an indicator (P). The Transaction Detail screen uses the same format to indicate income and principal transactions.



6. SUBSCRIPTION SERVICE

Subscription Service is a report request service that allows clients to request data according to their individual preferences, and delivers client data automatically via Web and or E-mail with no manual intervention. Subscription Service is available for the following Cash Lite reporting products:

Historical Balances

Historical Transactions

To create a Subscription, click Subscribe from the filter page and you will be brought to the Subscription Service New Request screen.



Subscription Service New Request At the New Request filter selection screen, enter the desired criteria and click on PDF Report or Data File.



Data File Details

If you choose Data File as the reporting option, you will launch the Data File Details screen.

On this screen you can select all data fields that you want to include as part of your export report. Use Add or Remove to include or exclude fields for your report.

Field Description

Add All Adds all Available Fields

Add Adds field (s) to Selected Fields

Move Down Moves Selected Fields down in order

Move Up Moves Selected Fields up in order

Remove Removes fields (s) from Selected Fields

Remove All Removes all Selected Fields

Return Returns you to the previous screen

Submit Submits fields and creates data file subscription



New Request Delivery Details After completing the criteria selections and choosing a report option, either PDF or Data File, you will be brought to the New Request Delivery Details screen. This screen is used to specify the delivery details of your subscription. Fill in the necessary information and click on Save, or Test Now and Save.



New Request Delivery Details Field Definitions

Field Description

Request Name

You can input any name desired in this field. This name will be displayed under the Name column on the Active Requests screen, and will also accompany the report name within the subject line of the E-mail. Default: Blank

Request Type This field displays the type of report request that has been created. Default: Name of Reporting Product

Delivery Method Web Site or Web Site & E-mail are the delivery options. Default: Web Site & E-mail

Process Time Time of report delivery Default: 12:00AM EST

Personal E-mail Address

Your default Personal E-mail address

Request Type This field displays the type of report request that has been created. Default: Name of Reporting Product

Alternate E-mail Address / Addresses

Up to 15 different E-mail addresses to which the subscription is sent. Default: Your E-mail address

Frequency

Select the frequency that you wish to receive the subscription. Options are Daily, Weekly (M–F) or the Last Business Day of the Month (i.e., Monthly). Default: Daily

View Subscription Reports If you chose to have your subscription reports delivered via Web and E-mail, you will receive an E-mail with an attached subscription file according to the selection criteria and delivery details specified. To view your subscriptions via the Web, go to BBH WorldView® and click on Subscription Service. You will be brought to the Active Request screen, which displays a list of all of your active subscriptions. Note: For additional information regarding Subscription Service, please refer to the Subscription Service User Guide located within the Subscription Service product.



7. APPENDIX A: TRANSACTION DETAIL DATA ELEMENTS

The data elements listed on this table are included on the Transaction Detail report by Transaction Group.

Transaction Category Transaction Group(s) Data Element

Foreign Exchange 3rd Party FX FX Buy FX Miscellaneous FX Sell Income Repatriation

Description System Reference Number

Income Accrued Interest on Trade Units Security Identifier Security Short Description Unit Price Trade Date Contractual Settlement Date Actual Settlement Date Trading Broker Name Settlement Location Trans Reference Number Client Reference Number System Reference Number

Income Income Miscellaneous Description System Reference Number

Income Paydown Units Security Identifier Security Short Description Gross Amount Ex-Date Record Date Payable Date Prior Paydown Factor Current Paydown Factor System Reference Number




Income Dividend Paydown Accrued Interest on Trade Tax Reclaim Interest Income Miscellaneous

Value Date Action Type Units Unit Price Net Settlement Amount Security Identifier Security Short Description Description System Reference Number CAID Actual Settlement Date Gross Amount Gross Dividend/Interest Rate Tax Withheld 1 Tax Withheld 2 Fee Amount Ex/Eligibility Date Record Date Payable Date Contractual Settlement Date Settlement Location FX Contra Currency FX Deal Rate Stock Loan Indicator Prior Paydown Factor Current Paydown Factor

Lockbox Lockbox Description System Reference Number

Maturity/Redemption Call Maturity/Redemption

Units Security Identifier Security Short Description Unit Price Maturity Date System Reference Number




Corporate Action Corporate Action Value Date Action Type Units Unit Price Net Settlement Amount Security Identifier Short Security Description Payment ID CAID Actual Settlement Date Gross Amount Tax Withholding Amount Tax Withholding Rate Fee Amount Ex/Eligibility Date Record Date Pay Date Contractual Settlement Date Settlement location Stock Loan Indicator

Money Movement Expense Loan Transactions Wire/Misc. Money Movement Deposit

Description Client Reference Number System Reference Number Fed Reference Number Originating Bank BIC Pay Date Payment ID

Money Movement Check Description Check Number System Reference Number

Money Movement ACH Description System Reference Number

Foreign Exchange BBH FX Sell BBH FX Miscellaneous 3rd Party FX BBH FX Buy Income Repatriation

FX Contra Currency Amount FX Contra Currency Code FX Deal Rate




Security Activity Free Item Purchase Sale

Units Security Identifier Security Short Description Unit Price Net Settlement Amount Commission Amount Fee Amount Trade Date Contractual Settlement Date Actual Settlement Date Trans Reference Number Client Reference Number Trading Broker Name Settlement Location System Reference Number

Security Activity Security Activity Miscellaneous Units Security Identifier Security Short Description Settlement Location System Reference Number

Shareholder Activity Fund Redemption Fund Subscription Shareholder Miscellaneous


Short-Term Investment Short Term Interest Short Term Purchase Short Term Redemption/Sale

Units Security Identifier Security Short Description Unit Price Trade Date Contractual Settlement Date Trans Reference Number Client Reference Number Trading Broker Name Settlement Location System Reference Number

Short-Term Investment Sweep Interest Sweep Out Sweep Returned




8. APPENDIX B: ADVANCED REPORTING

Clients who subscribe to advanced reporting will see the same cash screens but with some modifications. Advanced Reporting (AR) is the early processing of cash balances and transactions for reporting to our Asian clients. There are two cycles for Advanced Reporting, the first process loads all region 1 and 2 currencies and the second process runs all region 3 currencies. AR Screens All selection screens for AR clients will be the same as for standard clients. The only exception is a new option called AR Status. At any time a client may view the status of cash updates.

Field Description

Product This lists the early reporting products for region 1 & 2 currencies and region 3 currencies. Standard reporting is for those accounts that do not subscribe to advanced reporting.

Latest Available Date This is the most recent data of cash data in the system.

Available Yes or No. The user will always see Yes unless the system is in the process of updating for the next business day.



View Regions Currency List When the user clicks View Regions on the AR Status screen they will view a list of all currencies by region. Below is a complete list of currencies reported in regions one, two, or three in the AR reporting product.

Currency Code Region

AUSTRALIAN DOLLARS AUD 1

BANGLADESH TAGA BDT 1

CFP FRANC XPF 1

CHINESE RENMINBI CNY 1

VIETNAM DONG VND 1

HONG KONG DOLLARS HKD 1

INDIAN RUPEES INR 1

INDONESIAN RUPIAHS IDR 1

JAPANESE YEN JPY 1

KOREAN WON KRW 1

MALAYSIAN RINGGITS MYR 1

NEW TAIWAN DOLLARS TWD 1

NEW ZEALAND DOLLARS NZD 1

PAKISTANI RUPEE PKR 1

PHILLIPINE PESOS PHP 1

SINGAPORE DOLLARS SGD 1

SRI LANKA RUPEE LKR 1

THAI BAHTS THB 1

TIMOR ESCUDO TPE 1

VANUATA VATU VUV 1

ALGERIAN DINAR DZD 2

ANDORRAN PESETA ADP 2

BAHRAINI DINAR BHD 2

BELARUSSIAN RUBLE BYB 2

BOSNIAM MARK 2

BOTSWANA PULA BWP 2

BULGARIA LEV BGL 2

BULGARIAN LEV BGN 2

BURUNDI FRANC BIF 2

CFA FRANC BCEAO XOF 2

CFA FRANC BEAC XAF 2

COMORO FRANC KMF 2

CYPRUS POUND CYP 2

CZECH KORUNA CZK 2

DANISH KRONE DKK 2

DJIBOUTI FRANC DJF 2

EGYPTIAN POUND EGP 2

ESTONIA KROON EEK 2

EURO EUR 2

GHANA NEW CEDI 2

GUINEA FRANC GNF 2

GUYANA CIDI GHC 2

HUNGARIAN FORNIT HUF 2

ICELAND KRONA ISK 2




ISRAELI SHEKEL ILS 2

JORDANIAN DINAR JOD 2

KENYAN SHILLING KES 2

KUNA 2

KUWAIT DINARS KWD 2

LATVIAN LATS LVL 2

LEBANESE POUNDS LBP 2

LILANEGI 2

LITHUANIAN LITAS LTL 2

MALAGASY FRANC MGF 2

MALTESE LIRA MTL 2

MAURITUS RUPEE MUR 2

MOROCCAN DIRHAM MAD 2

NAMBIA DOLLAR NAD 2

NIGERIA NAIRA NGN 2

NORWEGIAN KRONE NOK 2

OMAN RIAL OMR 2

POLISH NEW ZLOTY PLN 2

QATARI RIAL 2

ROMANIAN NEW LEU RON 2

RUSSIAN FEDERATION RUB RUB 2

RUSSIAN RUBLE RUR 2

RWANDA FRANC RWF 2

SAUDI RIYAL SAR 2

SERBIAN DINAR RSD 2

SLOVAK KORUNA SKK 2

SLOVENIA TOLAR SIT 2

SOUTH AFRICAN RAND ZAR 2

SWEDISH KRONA SEK 2

SWISS FRANCS CHF 2

TAJIK RUBLE 2

TANZANIAN SHILLING 2

TUNISIAN DINAR TND 2

TURKISH LIRA TRL 2

UAE DIRHAM AED 2

UGANADA SHILLING UGX 2

UKRAINE HRYVNIA UAH 2

UNITED KINGDOM POUNDS GBP 2

YENI TURK LIRASI YTL 2

ZAMBIA KWACHA ZMK 2

ZIMBABWE DOLLAR ZWD 2

ARGENTINIAN PESOS ARS 3

BERMUDA DOLLAR BMD 3

BOLIVIA BOLIVIANO BOB 3

BRAZIL REAL BRL 3

BRAZILIAN CRUZEIROS REAL BRL 3

CANADIAN DOLLARS CAD 3

CHILEAN PESO CLP 3




COLUMBIAN PESOS COP 3

COSTA RICAN COLON CRC 3

ECUADOR SUCRE ECS 3

JAMACIAN DOLLAR JMD 3

MEXICAN PESO MXN 3

PANAMA BALBOA PAB 3

PERUVIAN NUEVO SOL PEN 3

TRINIDAD & TOBAGO DOLLAR TTD 3

UNITED STATES DOLLARS USD 3

URAGUAY PESO UYU 3

USD/B-T-L USN 3

VENEZUELAN BOLIVARS VEB 3



9. GLOSSARY

Field Description Field Length

Account Currency Code 3 position ISO currency code in which the account is denominated. X(3)

Account Name Shortened account title used to identify an account on reports, etc. X(38)

Action Type Underlying Corporate Action Type X(40)

Actual Settlement Date The date that the transaction actually settled. This can differ from the contractual settlement date and/or the posting date.

Date mm/dd/yyyy

Balance Date Date of the reported balances. Date mm/dd/yyyy

Balance Float 1 Day That portion of the account's ledger balance that, due to funds availability rules, will become available on the next business day.

9(15).2

Balance Float 2 Day That portion of the account's ledger balance that, due to funds availability rules, will become available in two business days.

9(15).2

Balance Float 3 Day That portion of the account's ledger balance that, due to funds availability rules, will become available in three business days.

9(15).2

Balance Type For accounts that do not maintain separate income and principal cash balances, one daily balance is maintained and the value of this field is set to '1'. For accounts that maintain separate income and principal cash balances, two daily balances are maintained and this field is used to distinguish between the income cash balance where the value of this field is set to '1', and the principal cash balance where the value of this field is set to '2'.

X(1)

Sonic Reference Number

Transaction number assigned by the security processing system. This number currently applies to security movements only.

X(13)

CAID Unique custodian ID assigned

CAS Transaction Code 5-digit transaction code that determines how the transaction is treated in the accounting system as well as the transaction description, group and category.

X(5)

Check Number This is the check number related to the debit transaction for checks written against a custodian account.

9(8)

CINS 9 position CUSIP International Numbering System (CINS) identifier assigned by the U.S. CUSIP Service Bureau for the security related to the transaction.

X(16)

Client Reference Number

Transaction reference number assigned by the client to uniquely identify the transaction.

X(25)

Closing Available Balance

Closing cash balance that includes only those funds available to the account owner on that day.

9(17).2

Closing Ledger Balance Closing balance that includes all transactions posted to the account on that day whether or not the funds are available to the account owner.

9(17).2

Commission Amount Broker commission related to a trade transaction. 9(17).2

Contractual Settlement Date

Date transaction was contractually due to settle. Date mm/dd/yyyy




Currency Account This is the account number to which the transaction was posted at the custodian. This is a 7 position assigned account identifier. For each account established at the custodian, there exists a main or head account number that is usually denominated in U.S. dollars. A separate sub-account, each with a unique number, is established and maintained for each currency in which the account will have activity. A link is maintained between these sub-accounts and the related main or head account so that any or all of the currency sub-accounts can be reported through the selection of the main/head account number and the desired currency code(s)

9(7)

Current Paydown Factor Current period paydown factor used in the calculation of the principal paydown amount on a mortgage-backed security.

9(16).8

CUSIP A 9-digit U.S. security identifier assigned by the Committee on Uniform Securities Identification Procedures (CUSIP) to identify the security related to the transaction.

X(16)

Custody Security Number

Identifier of the security related to the transaction. X(6)

Debit Credit Indicator Indicates whether the transaction amount is to be treated as a debit or credit to the account.

(2)

Ex-Date Ex-dividend date of the activity related to the transaction. Date mm/dd/yyyy

Fed Reference Number A unique reference number for wires sent through the Federal Reserve system.

Fee Amount Total fee amount associated with this transaction. 9(17).2

FX Contra Currency Amount

For FX transactions, this is the currency amount of the other side of the FX deal.

9(17).2

FX Contra Currency Code

For FX transactions, this is the currency code of the other side of the FX deal.

X(4)

FX Deal Rate For FX transactions, this is the exchange rate of the FX deal. 9(18)(13)

Gross Amount Transaction amount before any interest, taxes, commissions or fees are applied. Calculated as: (Shares * Price) or (Shares * Gross Dividend/Interest Rate).

9(25).2

Gross Dividend Interest Rate

Dividend/interest rate associated with the transaction before any rate adjustments have been made for fees, taxes, etc.

9(16).8

ISIN A 12-position security identifier established as the International Security Identification Number (ISIN) for the security related to the transaction.

X(16)

Main Account A 7 position assigned head main account number. For each account established at the custodian, there exists a main or head account number that is usually denominated in U.S. dollars. Separate sub-accounts each with a unique account number are established and maintained for each currency in which the account will have activity. A link is maintained between these currency accounts and the related main or head account so that any or all of the currency sub-accounts can be reported through the selection of the main/head account number and the desired currency code(s)

9(7)




Maturity Date Maturity date of the security related to the transaction. Date mm/dd/yyyy

Net Settlement Amount Transaction settlement amount net of any accrued interest, taxes, commission or fees. Calculated as (Units * Rate/Price) +/- Accrued Interest +/- Commissions, Fees, Taxes.

9(17).2

Next Day Funds Portion of the transaction amount that will not be available until the next business day after posting date.

9(15).2

Opening Available Balance

Opening available cash balance includes any previously posted transaction amounts available to the account owner on that day.

9(17).2

Opening Ledger Balance Opening ledger cash balance includes all previously posted transaction amounts regardless of whether the funds are available to the account owner on that day.

9(17).2

Originating Bank BIC The Bank Identification Code (BIC) or SWIFT address of the bank through which the money movement originated.

X(11)

Payable Date Date that the money or shares are scheduled to be paid in relation to an income or corporate action transaction.

Date mm/dd/yyyy

Payment ID Unique Payment ID received for each transaction. X(26)

Payment Notes Client notes specific to Corporate Actions payments

Posting Date Date the transaction was posted to the client's account. Date mm/dd/yyyy

Prior Paydown Factor Paydown factor used for the prior period's calculation of the principal paydown amount on a mortgage-backed security.

9(16).8

Reclaim Amount The amount of tax withheld on the transaction that is eligible to be reclaimed.

9(17).2

Reclaim Rate The rate used to determine the portion of the gross dividend payment amount that is eligible for a tax reclaim.

9(16).8

Record Date Record date of the activity related to the transaction. Date mm/dd/yyyy

Same Day Funds Portion of the transaction amount that is available on the same day the transaction is posted.

9(15).2

Security ID The preferred security identifier chosen on the selection screen. X(16)

Security Short Description

Shortened description of the security related to the transaction that includes critical data such as interest rate, maturity date, etc.

X(40)

SEDOL Seven-digit security identifier for non-USD securities assigned by the Stock Exchange Daily Official List (SEDOL) for the security related to the transaction.

X(16)

Settlement Location Name of the subcustodian where the transaction was settled. X(38)

Sicovam Security identifier assigned by the French depository Sicovam. X(16)

Stock Loan Description Description of Stock Loan transaction. X(24)

Stock Loan Indicator Identifies whether the payment is Stock Loan related or not. X(1)

System Reference Number

Transaction number assigned by the custodian processing system. X(13)




Tax Withheld 1 Amount of tax withheld on the activity related to the transaction. 9(17).2

Tax Withheld 2 Second tax amount withheld on the activity related to the transaction.

9(15).2

Three Day Funds Portion of the transaction amount that will not be available to the account owner until three business days after posting date.

9(15).2

Ticker Alpha code that identifies a security for trading purposes on the U.S. stock exchanges.

X(16)

Total Credits Total credit amount posted to an account for a given day. 9(17).2

Total Debits Total debit amount posted to an account for a given day. 9(17).2

Trade Date For trade related transactions, this is the date that the security was traded.

Date mm/dd/yyyy

Trading Broker Name For trade related transactions, this is the name of the broker who executed the trade.

X(50)

Transaction Amount Amount of the transaction in the currency of the account. 9(15).2

Transaction Category A broad grouping of transaction types. Examples are Security Activity, Income, Maturities/Redemptions, etc.

X(35)

Transaction Description Full detailed transaction description. X(500)

Transaction Group A subset of the transaction category, the transaction group more specifically identifies the transaction type associated with the transaction. Examples of transaction groups are Purchase, Dividend, Call, etc.

X(35)

Two Day Funds Portion of the transaction amount that will not be available to the account owner until two business days after posting date.

9(15).2

Unit Price Represents the price related to the transaction, i.e. this can be the trade price, redemption price, call price, etc.

9(16).8

Units Number of units, shares or par amount being transacted. 9(17).4

Valoren The 9-position security identifier assigned by Telekurs, the Swiss security-numbering agency.

X(16)

Value Date The official date on which money and/or securities were transacted.

Date mm/dd/yyyy

Withholding Rate Tax withholding rate associated with the transaction. 9(16).8

historical balances & transactions - brown brothers ... 2014 historical balances & | user...

Documents