Product Release Information

Omgeo ALERT®
July 2016
Version: 5.6

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 Omgeo ALERT 5.6 Product Release Information

Omgeo APAC: “DTCC” is the brand name under which certain affiliates of The Depository Trust &
Clearing Corporation provide services in particular geographic areas, including Omgeo Limited, a
limited liability company incorporated in Hong Kong; Omgeo Pte Ltd, a private limited company
incorporated in Singapore; Omgeo Pty Ltd, a proprietary limited company incorporated in Australia;
and Omgeo K.K., a kabushiki kaisha company incorporated in Japan (collectively, the “Omgeo
Entities”). Each of the Omgeo Entities are legally separate and independent entities, and each are
subject to the laws and regulations of the particular country or countries in which they operate. The
Omgeo Entities are the relevant affiliates which are offering the services described above; The
Depository Trust & Clearing Corporation does not provide such services to clients. Please see
www.dtcc.com/terms for a detailed description of The Depository Trust & Clearing Corporation.

Omgeo Canada: “DTCC” is the brand name under which certain affiliates of The Depository Trust
& Clearing Corporation provide services in particular geographic areas, including Omgeo Canada
Ltd./Omgeo Canada Ltée. and Omgeo Canada Matching Ltd./Services D'Appariement Omgeo
Canada Ltee. each being a private limited liability company incorporated in the province of Ontario,
Canada (collectively, the “Omgeo Entities”). Each of the Omgeo Entities are legally separate and
independent entities. The Omgeo Entities are the relevant affiliates that are offering the services
described above; The Depository Trust & Clearing Corporation does not provide such services to
clients. Please see www.dtcc.com/terms for a detailed description The Depository Trust & Clearing
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Corporation.
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Omgeo EMEA: “DTCC” is the brand name under which certain affiliates of The Depository Trust &
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Clearing Corporation provide services in particular geographic areas, including Omgeo Limited, a
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private limited company incorporated in England and Wales (company number 4007732), whose
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registered office is at Broadgate Quarter, One Snowden Street, London EC2A 2DQ. Omgeo Limited
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is authorised and regulated by the Financial Conduct Authority and is the relevant affiliate that is
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offering the services described above. The Depository Trust & Clearing Corporation does not
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provide such services to clients. Omgeo Limited is legally separate and independent from The
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Depository Trust & Clearing Corporation and is subject to the laws and regulations of the particular
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country or countries in which it operates. Please see www.dtcc.com/terms for a detailed description
.

of The Depository Trust & Clearing Corporation.

Omgeo US & South America: “DTCC” is the brand name under which certain affiliates of The
Depository Trust & Clearing Corporation provide services in particular geographic areas, including
Omgeo LLC, a Delaware limited liability company (“Omgeo”). Omgeo is a legally separate and
independent entity, and is subject to the laws and regulations of the particular country or countries in
which it operates. Omgeo is the relevant affiliate that is offering the services described above; The
Depository Trust & Clearing Corporation does not provide such services to clients. Please see
www.dtcc.com/terms for a detailed description of The Depository Trust & Clearing Corporation.
Certain Omgeo LLC services are subject to regulation by the U.S. Securities and Exchange
Commission (“SEC”) and are offered by Omgeo Matching Services – US, LLC (“Omgeo Matching
Services”), which is set out in SEC Release No. 34-44188; File No. 600-32; 66 FR 20494 (April 17,
2001). Omgeo TradeSuite ID and Omgeo Central Trade Manager are services of Omgeo Matching
Services and are subject to SEC regulation when used for trades in which either the broker-dealer
or its institutional customer is a U.S. entity and the securities in the trade are issued by a U.S. issuer.
No other services offered by Omgeo LLC are regulated.

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 Omgeo ALERT 5.6 Product Release Information

Copyright © 2017 Omgeo LLC. All rights reserved.

This publication (including, without limitation, any text, image, logo, compilation, code and/or design)
is proprietary and protected by copyright. This publication is for exclusive use by users authorized by
Omgeo LLC. If you received this publication from Omgeo by any electronic medium, you are granted
a limited, non-exclusive, non-transferable, nonsublicensable, and freely revocable license. This
license enables you to download and store this publication on your computer and print copies for
your own use. Except if and as authorized by the foregoing, no part of this publication may be
printed, stored, reproduced, copied, altered, modified, posted, distributed, transmitted, displayed,
published, sold, licensed, or used in any form or by any means, without Omgeo’s prior written
approval.
Omgeo has attempted to ensure the accuracy, timeliness, and completeness of this publication, but
makes no warranties and assumes no responsibility relating thereto. The content of this publication
may change from time to time without notice; readers are advised to refer to the latest version
available.
Omgeo® and the Omgeo logo are registered service marks owned by Omgeo LLC, 55 Thomson
Place, Boston, MA 02210. All names of Omgeo services referenced herein are either registered
service marks or service marks of Omgeo in the United States and elsewhere. Other product or
company names appearing in this publication are trade or service marks of their respective owners.
The U.S. Securities and Exchange Commission regulates several Omgeo services. For more
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information, visit http://www.dtcc.com/terms.

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Omgeo has approved this document for public distribution. The examples, pictures, and data are for
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illustrative purposes only. This document contains no actual trade data.

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 Omgeo ALERT 5.6 Product Release Information

TABLE OF CONTENTS

What's New in Release 5.6 5

Enhancements 5
Model-Level Future Effective Functionality 6
Data Search Save to Excel Format Upgrade 7
Rebranding of Omgeo ALERT User Interface and Online Help 7
Broker/Dealer Filtering of Settlement Instructions on Accounts Page 8
Investment Manager Validations on LEI and LTID 10
Investment Manager Ability to View a Broker/Dealer’s Collateral SSIs 11
Broker/Dealer and Investment Manager Ability to Save Collateral SSIs to PDF 11
Broker/Dealer and Investment Manager Ability to Search, Retrieve, and Save Collateral SSIs from
Data Search 12
SI Scan Inclusion of Collateral SSIs for Broker/Dealers and Investment Managers 13
Common Reference Data Updates 13
Security Type Addition 13
Changes to Market/Asset Class Support 13
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New Omgeo ALERT Open Application (API) Interface 14

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Defect Fixes 14
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Market/Business Rules Information Content Updates 15

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How to Take Advantage of this Release 15

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 Omgeo ALERT 5.6 Product Release Information

What's New in Release 5.6

Omgeo ALERT release 5.6 includes enhancements in the following areas:
l Collateral Filtering within Data Search (all users) on page 1
l Changes to Currency Code Support for Zimbabwe on page 1
l Market/Business Rules Information Content Updates on page 15
l Defect Fixes on page 1

Note
No client actions are necessary to take advantage of these enhancements.

Enhancements
Omgeo ALERT release 5.6 includes enhancements to the following functionality:
l All Clients: Model-Level Future Effective Functionality on the next page
l All Clients: Data Search Save to Excel Format Upgrade on page 7
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All Clients: Rebranding of Omgeo ALERT User Interface and Online Help on page 7
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Brokers/Dealers: Broker/Dealer Filtering of Settlement Instructions on Accounts

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Investment Managers: Investment Manager Validations on LEI and LTID on

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l Investment Managers: Investment Manager Ability to View a Broker/Dealer’s

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Collateral SSIs on page 11

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l Broker/Dealers and Investment Managers: Broker/Dealer and Investment

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Manager Ability to Save Collateral SSIs to PDF on page 11

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Broker/Dealers and Investment Managers: Broker/Dealer and Investment

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Manager Ability to Search, Retrieve, and Save Collateral SSIs from Data Search on
page 12
l Broker/Dealers and Investment Managers: Model Tab - Create Future Effective
Model SI on the next page
l Common Reference Data Updates on page 13
l Changes to Market/Asset Class Support on page 13

Note
No client actions are necessary to take advantage of these enhancements.

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 Omgeo ALERT 5.6 Product Release Information

Model-Level Future Effective Functionality

To facilitate clients' ability to proactively maintain model-level settlement instructions,
clients can now create Future Effective model level SI information by editing or creating a
model settlement instruction from the Models tab.
Figure 1 displays this functionality on the Model SI level.

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Figure 1 Model Tab - Create Future Effective Model SI

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 Omgeo ALERT 5.6 Product Release Information

Figure 2 displays the results from creating a future effective Model SI.

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Figure 2 Future Effective Model SI

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Data Search Save to Excel Format Upgrade

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To allow the extract of larger volumes of data using Data Search, the Save to Excel
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button now generates Excel files in .xlsx format. This enhancement removes the limit of
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save to rows that previously existed on Data Search files. Attempting to save more than
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65,000 rows to an Excel file no longer automatically results in a Report Generation

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Failed email.
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Rebranding of Omgeo ALERT User Interface and Online Help

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Changes to the header, footer, and background of the Omgeo ALERT application, as
well as to the online help header and styles, align the look and feel of Omgeo ALERT
with other DTCC applications. These changes have no impact on Omgeo ALERT
functionality.
Figure 3 illustrates the application header changes.

Figure 3 Application Header Rebranding

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 Omgeo ALERT 5.6 Product Release Information

Figure 4 illustrates the application footer changes.

Figure 4 Application Footer Rebranding

Figure 5 illustrates the online help rebranding.

Figure 5 Online Help Rebranding

Broker/Dealer Filtering of Settlement Instructions on

Accounts Page
To facilitate viewing and printing specified settlement instructions on the Accounts page,
filtering now results in displaying only the specifically requested settlement instructions.
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In addition, clicking Save to PDF saves only those SIs that were specifically requested
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for inclusion on the report, and not all SIs associated with the account. Figure 6 shows
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SIs returned for an account search with no filtering applied.

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Figure 6 SIs Returned Account Search - No Filtering

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 Omgeo ALERT 5.6 Product Release Information

Figure 7 shows filters being applied to the SIs. Figure 8

Figure 7 Setting Filters

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Figure 8 shows the SIs returned with filtering applied.

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Figure 8 SIs returned Account Search - Filtering Applied

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 Omgeo ALERT 5.6 Product Release Information

Investment Manager Validations on LEI and LTID

To facilitate correct entry of Access Code Legal Entity Identifier (LEI) and Large Trader
ID (LTID) on the General Account information page, there are now validations for these
fields.
l LEI must now contain exactly 20 alphanumeric characters.
l LTID must be either 8 numeric characters (NNNNNNNN), 12 numeric characters
(NNNNNNNNNNNN), or of the format NNNNNNNN-NNNN.
Figure 9 is an example the validation rule errors displayed upon entry of invalid data.

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Figure 9 Validation Rule Errors

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 Omgeo ALERT 5.6 Product Release Information

Investment Manager Ability to View a Broker/

Dealer’s Collateral SSIs
To facilitate collateral management workflows, an investment manager can now view a
broker/dealer’s collateral standing settlement instructions (SSIs) on the Models tab.

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Figure 10 Investment Manager View of Broker/Dealer Collateral SSIs

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Broker/Dealer and Investment Manager Ability to Save

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Collateral SSIs to PDF

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To facilitate collateral management workflows, broker/dealers and investment managers

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can now save collateral standing settlement instructions (SSIs) to PDF. Broker/dealers
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save to PDF from the Accounts tab and investment managers save to PDF from
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Accounts View under the Utilities tab.

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Figure 11 Save of Collateral SSIs to PDF

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 Omgeo ALERT 5.6 Product Release Information

Broker/Dealer and Investment Manager Ability to Search,

Retrieve, and Save Collateral SSIs from Data Search
To facilitate collateral management workflows, broker/dealers and investment managers
can now search for, retrieve, and save collateral standing settlement instructions (SSIs)
to .xlxs format from the Utilities tab.
Broker/dealers can search for, retrieve, and save investment manager collateral account
SI and another broker dealer’s collateral model SI. Investment managers can search for,
retrieve, and save their own collateral account SI or a broker/dealer’s collateral model
SIs.

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Figure 12 Data Search - Collateral SSIs

Figure 13 Collateral SSIs Export Sheet

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 Omgeo ALERT 5.6 Product Release Information

SI Scan Inclusion of Collateral SSIs for Broker/Dealers and

Investment Managers
To facilitate collateral management workflows, SI Scan now includes collateral standing
settlement instructions (SSIs) for broker/dealers and investment managers.
Collateral SSIs captured in SI Scan are corrected utilizing the same workflow as SI Scan
for standard settlement instructions.

Common Reference Data Updates

Security Type Addition
Table 1 contains details related to the new Unit Investment Trust security type.

Table 1 Security Type Addition

Security Code Description Applicable Countries
Unit Investment Trust UIT Unit Investment Trust All Countries
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Changes to Market/Asset Class Support

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In response to SMPG changes, depository support for some markets and asset classes
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has been changed/deleted. Table 2 details these changes.

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Table 2 Settlement Depository Methods

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Description
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Country Code EQU Corp Govt FI MM Unsp Omgeo

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Method
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Russian RU Support Support Support Support Support DCC Depository

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Federation Removed Removed Removed Removed Removed Clearing

Company

Spain ES Support Support Support Support Support IBCLRLT Iberclear

Removed Removed Removed Removed Removed (Latibex Trades)

Spain ES Support Support Support Support Support IBCLREQSCLV Iberclear

Removed Removed Removed Removed Removed (Equities and
other SCLV-
eligible trades)

Spain ES X Support Support Support Support IBERCLEAR Iberclear

Removed Removed Removed Removed

Spain ES Support X X X X BOL Bolsa de Bilbao

Removed

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 Omgeo ALERT 5.6 Product Release Information

New Omgeo ALERT Open Application (API) Interface

The new Omgeo ALERT Open API (Open API) interface facilitates the automated
retrieval of Standing Settlement and Collateral Management instructions from Omgeo
ALERT.
Access to Omgeo ALERT is developed with a series of XML schema format messages.
The XML schema format messages allow your internal application(s) to interact directly
with Omgeo ALERT through a standard interface. The XML schema messages provide
real-time retrieval of standing settlement instructions and collateral management
instructions from Omgeo ALERT for data enrichment to your down-stream applications.
The Omgeo ALERT Open API Message Specification contains details on this new
interface.
Please contact your Relationship Manager for further details about Omgeo ALERT
Open API.

Defect Fixes
Version 5.6 fixes the following defects from Omgeo ALERT 5.0:
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l TeamTrack #213892: GCD Messaging: Settlement Instruction Delete messages no

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longer return a success message when no SIs have been deleted.

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TeamTrack #236159: GCD Messaging: GCDs can now replace Investment Manager
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owned account specific instructions with their own settlement instructions containing
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exactly the same data.

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l TeamTrack #223889: GCD Messaging: The appropriate error message is now

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returned by ALERT if a GCD message is submitted containing non ISO-8859-1

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characters.
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l TeamTrack #229687 and #234625: All Clients: Carriage Returns, Tabs, and leading
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and trailing spaces will be removed from data before data is saved to the database.
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l TeamTrack #203769: Investment Managers: Fund Level data is now correctly

displayed in the Create SI modal.
l TeamTrack #213220: Brokers: Account View will no longer display BIAs that are not
linked to the selected account.
l TeamTrack #209646: All Clients: Data Search UI results will now match the results
received in the Save to Excel version of the data.
l TeamTrack #232797: Data Search for IMs and Brokers: General Account Excel
downloads will now contain all populated data fields.
l TeamTrack #235593: Data Search for Brokers: downloading data for all IM
acronyms via “Save to Excel” will no longer be possible.

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 Omgeo ALERT 5.6 Product Release Information

Market/Business Rules Information Content Updates

Market/business rule information content contains detailed information on maintaining
Settlement Instructions within Omgeo ALERT. Table 3 outlines the field changes.

Table 3 Field Changes

Country Method(s) Change Impact
Hungary CLS Hungary is now valid HU-CLS-F/X is now a valid Country-Method-Security
for CLS settlements combination. Hungarian Forint (HUF) is now a valid currency
for CLS settlement instructions.

How to Take Advantage of this Release

With the exception of Omgeo ALERT Open API, no client activity is required to take
advantage of the changes in this release. All enhancements/defect fixes are immediately
available to clients after the release.
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