Minimum Data Required for Captool Pro Custodian Import Interface

 

Captools Co. does not have an absolute data format specification for import of custodial data.  Rather we would rather attempt to work with data formats that can already be generated by the custodian so we have control over how fast an interface can be made available, rather than waiting for a custodian IT department to generate a particular data export.

 

Custodians for whom Captools/net does not already have an import interface can use the following guidelines to provide end users with data for which Captools Co. can build an interface.  Please be advised the making data available which meets these requirements does not necessarily guarantee that Captools Co. will create an import script or that the script will be generated within a requested or required timeframe, or at the level of functionality desired by the custodian or end user (i.e. such scripts may require some end users manual modification to data after import).

 

Data must be available in separate files for each rep or RIA, in ASCII text form.  Captools Co. can design script to import most data layouts so a specific data layout is not required, although layout specifications are desirable, including transaction code definitions.   Multi-field transaction codes are ok.   Existing standard download formats, including additional data are preferable, so as to expedite the interface creation process.

 

Transaction Records   (daily)

 Account Number

 Transaction Date

 Transaction Code (e.g. Buy, Sell, Div, or whatever codes used)

 Ticker Symbol or Cusip

 Transaction Description

 Share Quantity (if applicable to transaction)

 Transaction Price

 Commission

 Trade/Sec Fee

 Accrued Interest   (on bonds, may be in separate transaction)

 Exchange rate (for multi-currency only)

 Gross or Net Amount

 

(transaction records may be in one or several files, but should include trades, money transactions, corporate actions and any activity affecting cash or share balances)

 

Position Records   (at least once/month, used to initialize and reconcile)

 Account Number

 Position Date

 Ticker Symbol or Cusip

 Share Quantity

 Market Price  (may be provide in separate price file)

 Exchange rate (for multi-currency only, may be in separate price file)

 Market Value        

 

Pricing Records  (preferably daily, preferable only those symbols applicable to Rep)

 Date

 Ticker Symbol or Cusip

 Close Price

 

Account Detail Records (desirable at monthly, used to update Captool account list)

 Account Number

 Tax Identifier

 Account Title

 Client Name Info (may be several fields)

 Client Address Info (may be several fields)

 Client Phone, email, fax, etc. (may be several fields)

 Account Type

 Any other client/account data available

 

Security Definition Records (at least once/month or when new security for Rep accounts)

 Cusip

 Ticker Symbol

 Security Type Code (e.g. “cs=common stock”)

 Description

 Bond issue, maturity and call dates

 Bond maturity and call prices

 Bond payment dates and rates

 Any other security definition data available

 

 

For more additional clarification on requirements contact:

 

 email: data@captools.com   phone: 425-391-4250