Many financial institutions and brokerage firms struggle with lack of an automated asset transfer process or standardization with counterparty communications and event workflows. Short turnaround requirements have them “jumping through hoops” to timely answer questions or provide information. The difficult and manual processes for internal notification of time-sensitive issues or communicating cost basis on transferred assets often leads to errors and lack of transparency.


Delta Data’s Asset Transfer Manager (ATM) is an automated system that works with and parallel to the Automated Customer Account Transfer System (ACATS), provided through the DTCC, to create a proactive vs reactive method for receiving and delivering assets.

ATM maximizes automation of free receipts and provides real-time alerts to users regarding the status, progress, and completion of a free receive or deliver transactions – minimizing the potential for failures and errors. ATM Integrates with DTCC Cost Basis Reporting System (CBRS) to facilitate the movement of cost basis information on asset transfers with a user interface that enables a multi-sourced information flow.


  • Allows internal communication with the front office on requests
  • Facilitates communication and document storage with contra party
  • Provides user interface that facilitates exception-based processing
  • Accepts and delivers full and/or partial requests
  • Integrates with asset reference data systems
  • Facilitates integration with trust accounting systems
  • Integrates with cost basis reporting systems
  • Provides access to industry standardized reporting


  • Integration with a single asset master source, to include mutual funds as well as equities, to validate assets a user can hold (Pre ACAT)
  • Integration with relationship management database to create qualification process for free receive and delivers
  • Automated communication between contra parties for source documents required prior to ACAT initiation
  • Automation of alerts for deliver requests, reject notifications, adjustments, and changes in status
  • Automated review of asset lists in free receipts to alert for any
    ineligible assets
  • Integration with asset reference system that identifies existing mutual fund accounts to use in registration
  • Facilitates registration of mutual funds when no account exists
  • Ability to auto-reject assets by type
  • Allows notification of assets that cannot be delivered through ACATS process
  • Workflow for free receipts process and workflow for free deliver process
  • Ability to accept delivery request without prior qualification
  • Automation of posting free receipts and deliveries to Trust
  • Ability to review asset lists from deliverer prior to acceptance
  • Ability to upload asset list, review and approve individual assets prior to initiating a delivery to contra-party
  • Dashboard to review all free receipt and deliver activity which is in process to include exception based reporting and transaction aging features
  • Allow for manager/administrator access of employee receive and deliver workflows
  • Ability to separate and route receive and deliver requests between users
  • Integration with trust systems to notify process completion
  • Filters to allow users to only see work assigned to them
  • Ability to create partial receive requests or partial transfer receive (PTR)
  • Ability to create partial delivery requests or partial transfer deliver (PTD)
  • Ability to initiate reclaims (RCL) though DTCC
  • Ability to create a residual credit transaction (RCR)
  • Create standardized reports already associated with DTCC ACATS process
  • Automation of communication between contra parties during the ACATS process, specifically as it relates to changes in the asset listing initiated or requested by either party

With ATM, users can set realistic expectations for transferring assets — turning a largely reactive process into a more proactive one. In addition, ATM decreases the likelihood of errors, reducing or eliminating delays or total derailment of the asset transfer process.

Customers trust ATM for:

  • Transfers
  • Asset transfers


Delta Data provides the back-end solutions that companies in the mutual funds industry use to process trillions of dollars of transactions and keep on top of their data.

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