Managing Holdings Category Libraries

Intro

The Category Library holds the listing of categories as defined per the SEC guidelines. These categories are assigned to the securities referenced in each filing.

The Category Library holds the listing of categories for a given category type, as defined by users in the current Arc Suite environment. These categories are assigned to the securities included in portfolio statements for a given fund.

Tasks

• Adding an ArcFilingArcReporting category library to the database

  1. Expand the ArcFiling “Filing Libraries” menu.

     1. Click the “Home” button at the top of the application window to return to the landing page.

     2. Select “ArcFiling” from the components list.

        

     3. Click the “Administration” tab at lower-left of the screen.

        

     4. Click the “Filing Libraries” menu to view available items.

  2. Expand the ArcReporting “Reporting Libraries” menu.

     1. Click the “Home” button at the top of the application window to return to the landing page.

     2. Select “ArcReporting” from the components list.

        

     3. Click the “Administration” tab at lower-left of the screen.

        

     4. Click the “Reporting Libraries” menu to view available items.

  3. Click the “Category Libraries” item.

     The “Category Libraries” page displays.

     

  4. Click the “Add” button at lower-right of the page.

     A new, blank row displays in the “Listing” pane at left of the page. A list of predefined categories associated with the new category library for the most recent account period also displays within the “Categories” tab of the “Detail” pane at right of the page.

  5. Click the “Complex” drop-down list to specify the complex with which the new category library will be associated.

  6. Enter a “Name”, “Code” and “Description” for the new category library, either in the cells of the new row at left of the page, or in the fields of the “Detail” pane at right.

     The “Library Name” and “Code” specified must be unique within a given complex, but can be used across multiple complexes.

  7. Click the “Category Type” drop-down list to specify the category type of the new category library (“N-MFP”).

  8. If category captions will be defined for multiple languages, click the “Languages” tab to specify one or more languages to associate with the new category library.

     1. Click the “Add” button at lower-left of the “Detail” pane to add a new language.

        The “Choose Language” dialogue displays.

        1. Click the “Language” drop-down list to specify the desired existing language.

        2. Click the “Accept” button at lower-right of the dialogue.

        3. Repeat these steps for as many languages as you require.

     2. Click the “Save” button at lower-right of the page.

  9. Click the “Categories” tab to add one or more categories to the new category library.

     1. Click the “Add” button at lower-left of the “Detail” pane to specify a category’s properties and add it to the library.

        The “Add Category” dialogue displays.

        1. By default, the category captions you provide will be applied to the category for all languages. If one or more languages have been associated with the category library, and you intend to specify distinct captions for each language, click the “I want this caption to be different for each language” link.
        2. Specify the “Category Name”.

        3. Click the “Add” button at lower-left of the “Category Codes” grid to add a code representing the category.

           A row is added to the grid.

           1. Type the desired code in the row.
           2. Repeat this step for as many codes as will be associated with the category.

           The specified code(s) will display in the grid of the “Categories” tab as a comma-delimited list.

           To delete an existing code, select a row in the grid, and then click the “Remove item” button at lower-left of the grid.

        4. Provide the desired category “Caption”.

           Ensure that the caption specified is a valid SEC caption value for N-MFP filings, as noted below.

        5. Specify the “Total Caption” text, which is used when the total of all holdings for the category is referenced.
        6. Indicate the “Single Caption” text, to be used when the category contains only one holdings record.
        7. Provide the “Single Total Caption” text, to be used when the category total is referenced, and the category contains only one holdings record.

        8. As needed, enter text for “Other Caption 01”, “Other Total Caption 01”, “Other Caption 02”, “Other Total Caption 02”, “Other Caption 03” and/or “Other Total Caption 03”.

           Mapping the “Other Caption 01”, “Other Caption 02” and/or “Other Caption 03” data points results in the associated “Other Total Caption” text provided in the category library to display in project preview and output.

        9. Specify the desired “Category Behavior”.

        10. Click the “Accept” button at lower-right of the dialogue.

            One or more caption records are created for the specified category, depending on whether the same caption is to be used for all languages associated with the category library, or if a distinct caption will be provided for each language.

     To set a different name, caption or code(s) for any existing category record, select it and click the “Edit” button at lower-left of the “Detail” pane. Captions can also be typed directly in the corresponding cell of the category row.

     Only specific category captions are valid for N-MFP filings. These categories and associated captions are automatically added to any new ArcFiling category library. In order to ensure successful N-MFP filings, the category “Caption” values should not be modified.

     Valid SEC category caption values:

     • “Agency Collateralized Mortgage Obligation”
     • “Agency Debentures and Agency Strips”
     • “Agency Mortgage-Backed Securities”
     • “Asset Backed Commercial Paper”
     • “Asset-Backed Securities”
     • “Certificate of Deposit”
     • “Corporate Debt Securities”
     • “Equities”
     • “Financial Company Commercial Paper”
     • “Insurance Company Funding Agreement”
     • “Investment Company”
     • “Money Market”
     • “Non-Financial Company Commercial Paper”
     • “Non-Negotiable Time Deposit”
     • “Non-U.S. Sovereign, Sub-Sovereign and Supra-National debt”
     • “Other Asset Backed Securities”
     • “Other Instrument”
     • “Other Municipal Security”
     • “Other Repurchase Agreement, if any collateral falls outside Treasury, Government Agency and cash”
     • “Private Label Collateralized Mortgage Obligations”
     • “Tender Option Bond”
     • “U.S. Government Agency Debt”
     • “U.S. Government Agency Repurchase Agreement, collateralized only by U.S. Government Agency securities, U.S. Treasuries, and cash”
     • “U.S. Treasuries (including strips)”
     • “U.S. Treasury Debt”
     • “U.S. Treasury Repurchase Agreement, if collateralized only by U.S. Treasuries (including Strips) and cash”
     • “Variable Rate Demand Note”

  10. Click the “Save” button at lower-right of the page.

  Importing category caption records

  As an alternative to manually entering category caption information one record at a time via the associated application page, you can import multiple category caption records at once using an Excel (XLS) source file. Follow these steps to do so:

  1. Expand the ArcReporting “Reporting Libraries” menu.

     1. Click the “Home” button at the top of the application window to return to the landing page.

     2. Select “ArcReporting” from the components list.

        

     3. Click the “Administration” tab at lower-left of the screen.

        

     4. Click the “Reporting Libraries” menu to view available items.

  2. Click the “Category Libraries” item.

     The “Category Libraries” page displays.

     

  3. Click the “Categories” tab.

  4. Click the “Get import template” button at lower-right of the pane where existing items are listed to retrieve an Excel import file template.

     The “File Download” dialogue displays.

     

     1. Click the “Open” button to open the template within Microsoft Excel.
     2. Or, click the “Save” button, and then specify a local or network directory in which to store the template.
  5. Use Excel’s “Save As...” command to create your data import file, giving it a unique and meaningful name (e.g., “CategoryImport_20101231.xls”).
  6. Populate your new file with information for as many category caption records as you’d like to import, and then save it (see the “Category Captions Import File Structure” table for specifics).

  7. Click the “Import data” button at lower-right of the pane where existing items are listed to import data contained in your Excel source file.

     The “Category Captions Import” dialogue displays.

     

  8. Select your import file using the “Browse” button at right of the “File” field.

     

  9. Specify the import behavior options you’d like to use.

     1. Specify whether only new records in your file should be imported to the database, or whether any records it has that match existing database records should also be imported.

        By default, the “Import New Records Only” option is selected.

        Existing records will be overwritten by those contained in your file if you choose the latter option!

  10. Click the “Preview” button at lower-right of the “Options” section.

      The record(s) to be imported display in the grid.

  11. Click the “Accept” button at lower-right of the dialogue.

      The records are imported to the database.