Managing XML Disclosure Profiles for N-MFP Filings

Intro

An XML disclosure profile allows you to define which rating agencies’ ratings are reported in your Form N-MFP filing. By default, the filing will report the ratings associated with a given rating agency based on the data included in the Holdings dataload or Holdings data import. The settings in a given disclosure profile can be applied to a fund via the “Fund Report Settings” page.

Certain functionality in this application area requires you to have one or more . For more information about any given right (i.e., what functionality it governs, etc.), please see the “Available User Rights” topic.

Tasks

    1. Expand the ArcFiling “Settings” .

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

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

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

      4. Click the “Settings” menu to view available items.

    2. Click the “XML Disclosure Profiles” item.

      “XML Disclosure Profiles” page

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

    4. Provide a “Profile Name” and “Description” via the corresponding fields in the “Detail” pane at right of the page.
    5. Click the “Complex” drop-down list to specify the complex with which the new profile will be associated.
    6. Click the “Category Library” drop-down list to specify the category library associated with the funds that will utilize this profile.

    7. If applicable, select the “Disclose” and enter the value you want to append to the security name if the “Item C.2 - Coupon” value is zero (“0.000000%”).
      “XML Disclosure Profiles” page (caption appendage specification)

      If the “Item C.2 - Coupon” value is zero, but the “Disclose” check box is cleared, nothing will be appended to the security name, even if a text string is provided.

    8. Specify for Items C.14.e, C.15.c and C.16.d.

      1. You can overwrite the ratings data associated with all holdings by selecting the and entering the value you wish to report in the text field (e.g., “N/A”).
        “XML Disclosure Profiles” page (ratings data overwrite specification)

      2. Select the (default option) to disclose the ratings as specified on the “Fund Holdings” page of your filing.
        “XML Disclosure Profiles” page (ratings disclosure as per “Fund Holdings” page)

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

    1. Expand the ArcFiling “Settings” .

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

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

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

      4. Click the “Settings” menu to view available items.

    2. Click the “XML Disclosure Profiles” item.

      “XML Disclosure Profiles” page

    3. Select the desired item from the “Listing” pane at left of the page.

    4. Review and edit information for the item in the “Detail” pane at right of the page.

    5. Click the “Save” button at lower-right of the page if any updates were made.

    1. Expand the ArcFiling “Settings” .

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

      2. Select “ArcFiling” from the .
        Landing page components list (ArcFiling)

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

      4. Click the “Settings” menu to view available items.

    2. Expand the ArcReporting “Settings” .

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

      2. Select “ArcReporting” from the .
        Landing page components list (ArcReporting)

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

      4. Click the “Settings” menu to view available items.

    3. Click the “Fund Report Settings” item.

      “Fund Report Settings” page
    4. Select the complex to which the fund belongs from the listing pane at left of the page.

    5. Specify for one or more funds in the selected complex.

      1. Click the “Default Settings” if you wish to specify settings for a specific fund, all funds or a select set of funds.
        “Fund Report Settings” page, “Default Settings” tab

        1. Specify the appropriate “Primary Portfolio Statement”, “Security Library”, “Abbreviation Library”, “Portfolio Footnote Library”, “Currency Caption Library”, “Issuer Library”, “Fund-level Rounding” and “Holdings Load Profile” for funds in the complex using their respective drop-down lists on the tab.

          If the “Portfolio Footnote Library” selection is changed at any time, any assignments of footnotes from the previously-selected library to securities will remain intact, however they will be hidden from view on the “Fund Holdings” page.

        2. Designate the appropriate category library for funds in the complex for each of the category types using the drop-down lists in the “Category Library” sub-tab at the bottom of the tab.

        3. Click the “Push settings to funds in this complex” to apply the specified settings to one or more funds.
          “Push Complex Settings to Fund(s)” dialogue

          1. Select the check box(es) representing the fund(s) to which the settings will be applied.

            You can use the “Select all” or “Clear all” links to quickly select/clear the check boxes.

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

        • The settings specified via each of the drop-down lists represent the default settings for all future fund additions to the complex, whether manually or by means of a data import.
        • You may manually change the settings for any given fund in the complex at any time (i.e., after the addition of a new fund, following a “push settings” operation, etc.).

      2. Select a particular fund in the complex from the at left of the page if you wish to specify settings for only that fund.
        “Fund Report Settings” page, “Fund Settings” pane

        1. Specify the appropriate “Primary Portfolio Statement”, “Security Library”, “Abbreviation Library”, “Portfolio Footnote Library”, “Currency Caption Library”, “XML Disclosure Profile”, “Issuer Library”, “Fund-level Rounding” and “Holdings Load Profile” for the fund using their respective drop-down lists in the “Fund Settings” pane at right of the page.

          If the “Portfolio Footnote Library” selection is changed at any time, any assignments of footnotes from the previously-selected library to securities will remain intact, however they will be hidden from view on both the “Holdings” and “Footnotes” tabs of the “Fund Holdings” page.

        2. If needed, select the “Exchange Rates Override” check box for a given fund, and then specify the “Exchange Rate Source”, “Exchange Rate Time” and “Exchange Rate Time Zone” that should be used to source horizontal calculation values for that fund via the associated drop-down lists.
        3. Designate the appropriate “Category Library” for the fund for each of the category types using the drop-down lists in the “Category Library” tab at lower-right of the page.

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

    A listing of records, with certain associated information, can be exported from the application database to any of several different file formats (DOC, HTM, XML, etc.). Follow the steps below to perform a data export.

    1. Click the “Export data” at lower-right of the pane where existing items are listed to export data from the grid.

      1. Select the next to the file format to which you’d like the data saved.

        •  .XML

        •  .DOC

        •  .CSV

        •  .HTM

        •  .TXT

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

        1. Specify a local or network directory in which to store the file, and provide a “File name”.
        2. Click the “Save” button.