ACATS-Fund /服务^®

ACATS-Fund /服务^® is a dynamic system that is becoming increasingly important to the mutual funds industry. 最近增强, it automates and standardizes transfers and re-registrations of the assets in a customer’s mutual fund account. These transfers can be between broker/dealers or other distribution firms, 或者在公司和基金公司之间.

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  ACATS-Fund /服务 combines the benefits of two NSCC services. ACATS (the Customer Account Transfer Service) automates procedures for transferring assets. Fund/SERV® is the industry standard for processing mutual fund transactions through standardized formats and a centralized hub.

  Both ACATS and Fund/SERV® are accessible via mainframe over 存’s SMART connection or through My存 Web Portal that gives participants direct access over the Internet to services provided by 存's subsidiaries.

• 谁可以使用该服务

  All eligible and qualified NSCC full service Members and 直接转矩 bank participants are eligible to use ACATS. Mutual Fund Service Members of NSCC are eligible to use the service on a limited basis, only as the contra-party to a transfer initiated by a broker dealer or a bank for the purpose of re-registering a mutual fund position to or from them directly.

• 好处

  • Improves customer service by facilitating faster, more accurate transfers of customer positions.
  • Provides an automated facility for the transfer and re-registration of Fund/SERV-eligible mutual funds in a controlled, 帐面价值的环境.
  • Eliminates manual processing associated with fund re-registration.
  • Automatically transmits to both delivering and receiving firms reports on the status of mutual fund registrations.
  • Can reduce the potential risk and carrying costs associated with open fail liabilities.

• 服务如何运作

  Customers generally initiate account transfers by submitting completed Transfer Initiation Forms (TIFs) to the new receiving firm. The new receiving firm enters the relevant transfer information into ACATS. Once the transfer information is entered into ACATS, NSCC assigns control numbers and sends control reports to both the delivering and receiving firms.

  Delivering firms must submit asset details or reject the transfer. Asset details that are submitted by the delivering firm are reported by NSCC to the delivering and receiving firms. Receiving firms have one business day to accept or reject the account, or request that the delivering firm make adjustments. During this one-day period, delivering firms can add, delete or change an item. Receiving firms can delete mutual funds when they have no selling agreement with the fund. ACATS-Fund /服务 is then used to communicate mutual fund asset transfer information to the appropriate fund.

  公司转让:

  

  
  

  仅适用于经纪人对经纪人的转账:

  结算日, NSCC automatically debits the delivering broker with the value of the assets being transferred and credits the receiving broker with the same amount. 当基金组织承认, NSCC will credit the delivering broker with the value of those assets and debit a corresponding amount to the receiving broker. Throughout the process, transfers can be tracked through status reports to brokers and funds. (Note: Credits and debits are not posted to the deliverer or receiver if either party is a bank). Participant-specific defaults are available via the ACATS default registration form.

  Fund-to-Firm传输:

  

• 了解更多信息

  Please contact 客户端支持 at 1-212-855-8877 or by email at (电子邮件保护).

  
  
  

  ACATS-Fund /服务 is a service offering of National Securities 清算 Corporation (NSCC), 存全资子公司. The Service is governed by applicable Rules, 程序, 及服务指引, 哪些包含完整的条款, 条件, and limitations applicable to this Service. The Service description herein is for informational purposes only, and NSCC reserves the right to make modifications.