ACATS

The 客户帐户自动转帐服务 is a system that 自动化 and 标准化 procedures for the transfer of assets in a customer account from one brokerage firm and/or bank to another.

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  ACATS enables eligible participants to efficiently and automatically enter, 审查, 并结算客户账户之间的转账. 该服务使转账程序标准化, 降低运营成本, 加快交易结算速度.  ACATS使许多不同类型的资产能够转移, 包括, 但不限于, 股票, 公司及市政债券, 单位投资信托, 共同基金, 选项, 年金, 和现金.

  当可适用, ACATS与澳门赌场的基金/服务系统相连, 哪些机构处理和结算共同基金交易, to expedite the re-registration of fund positions when a customer account moves from one firm to another, and when a customer mutual fund asset moves between a broker-dealer or bank and a fund. ACATS规范了共同基金的重新注册程序, reducing operating costs and the processing time of transaction settlements and re-registration of transferred fund positions.

  ACATS also links with NSCC’s Insurance Processing Service (IPS) to provide insurance carriers with information necessary to re-register insurance assets that are transferred between two broker-dealers.

  ACATS is a non-guaranteed service and certain transactions may be subject to reversal in the event of the default of a participant that is party to a transfer.

• 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

  ACATS提供以下好处:

  • 集中, 标准化, 自动化, and accelerates the transfer of customer accounts between two NSCC Members or between NSCC Members and 直接转矩 bank Participants.
  • Permits broker dealer Members to comply with FINRA requirements regarding the transfer of customer accounts.
  • 支持多个处理周期，包括加速结算.
  • 适应各种处理能力, 包括 automated CPU-to-CPU transfers and secure internet communications.
  • 创造节约成本的机会.

• 服务如何运作

  在高水平上, a standard customer account transfer between two broker dealer Members would follow these steps:

  • The receiving Member will initiate the transfer by submitting a Transfer Information (TI) record, 也被称为TIF (Transfer Initiation Form). 
  • ACATS将为转账分配一个控制号码, and distribute output to both the receiving Member and the delivering Member identified in the TIF, putting the requested transfer into “Request” status in the ACATS system. 如果ACATS拒绝传输请求(如果信息缺失), 或者请求以错误的格式提交, 例如), only the receiving Member that initiated the transfer will be notified.
  • The delivering Member must respond to the output within one business day, 通过添加受转移影响的资产, 或者拒绝转让.  如果交付方没有响应, ACATS will add information relating to the transfer to reporting distributed to FINRA  .
  • After the delivering Member adds the assets that are subject to the transfer, both the receiver and deliverer Members have an opportunity to 审查 the list of assets in the account.  The ACATS transfer will remain in this “Review” status which can last the remainder of the day that the deliverer added assets and through the next business day.  在本审查期间, 发送成员可以添加, 删除, 或修改一项或多项资产的转让清单.  如果交付者采取了这些行动中的任何一个, ACATS updates the transfer to “Review Adjust-Deliverer” status and adds an additional business day for the parties to 审查 the transfer.
  • 如果转让包含共同基金或保险资产, the receiving Member must submit the appropriate mutual fund and insurance re-registration instructions.
  • 一旦审查期结束, and the receiving Member has added any applicable re-registration instructions, ACATS将进行转账结算, 并将帐户设置为“结算准备”状态.  在此期间, 持续一个工作日, 接收方和发送方不能再更新传输. 

  此时此刻, ACATS will issue a settlement report/file to both the deliverer and receiver to inform them of the assets settling in the transfer.  ACATS will also send the settling assets to their eligible settlement interfaces, 比如中枢神经系统, 直接转矩, 或基金/服务.

  • When the transfer settles, it is set to “Settle Close” status in the ACATS system.  如果经纪人对经纪人的转让包括非cns合格证券, the delivering Member will be debited the market value of the asset and the receiving Member will be credited the market value of the asset through NSCC’s money settlement. These charges create an incentive for the delivering Member to deliver the asset and allow the receiving Member to record the customer on its books on ACATS settlement date, 使客户免受与结算过程相关的风险.

  当现金资产在经纪人之间转移时, that amount will be debited and credited through NSCC money settlement, 并扣除上述任何适用的激励费用.  When cash assets are transferred in an ACATS transfer w在这里 one of the counterparties is a bank, that asset settles through a Security Payment Order (SPO) charge at 直接转矩.

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