Handling Trade and Asset Archive Errors

Records in feed archives that are flagged with errors need to repaired, so that they can be fully processed into SalesConnect. See About Trades and Assets for details about feed files and their handling; the section Repair aka "Manual Resolution" describes what's involved in handling or repairing errors.

See these sections for details:

Handling Trade Errors

  1. Using the Data Operations personaClosedA persona is an interface set of menus and dashboard or home view that was designed for a single set of operators who share goals, skills, attitude and behavior patterns. Each persona's interface displays only the content and tools that are relevant for that group., select Transaction Feeds from the Resolution menu. Or, select in the universal menu, and then select Feed Management Transactions under Feeds.

  2. On the Feed Management Transactions page, select the link for a transaction archive. An archive-specific Transaction Errors page is shown, listing current errors, aggregated by trade firmClosedA broker/dealer firm (or broker dealer or broker-dealer) is a connection associated with intermediary business, typically a top-level organization in this hierarchy. Broker/dealer firms are also sometimes referred to as just "firms" or "brokers" or "dealers" or "financial institutions." Each broker/dealer firm may have one or more offices affiliated with it, and through these offices, reps may also be affiliated with it. A broker/dealer firm may have associated firm contacts, as well. Possibly the most critical information you can track for broker/dealer firms are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each broker/dealer firm. If you need to write queries or reports: The primary data for broker/dealer firms is stored in the Firm table. The Firm Alias table stores trading IDs associated with broker/dealer firms., trade officeClosedAn office is a connection in the intermediary business hierarchy, an organization subordinate to a broker/dealer firm. Offices are also sometimes referred to as "branches'; institutional firms have branches in SalesConnect. An office is affiliated with a single broker/dealer firm, and may have one or more reps directly affiliated with it. An office may have associated office contacts, as well. Possibly the most critical information you can track for offices are aliases, also known as trading IDs. Aliases are the IDs that associate transactions with each office. If you need to write queries or reports: The primary data for offices is stored in the Office table. Information about office trading IDs is stored in the Office Alias table., and trade repClosedA rep is perhaps the most important contact connection in the intermediary business hierarchy. Each rep is an individual who sells funds and is affiliated with an office (and through the office, with a broker/dealer firm). Reps may also be referred to as "financial advisors." Possibly the most critical information you can track for reps are aliases, also known as trading IDs. Aliases are the IDs that associate transactions and assets with each rep. If you need to write queries or reports: The primary data for reps is stored in the Contact and Rep Profile tables. The Rep Alias table stores trading IDs associated with reps., in descending order by the number of errors.

    Tips

    • In-process (being worked) and repaired records have a shaded background.
    • You can use checkboxes to select records in the table—if you want all listed records, select no checkboxes—and then use table tools to Mark As In Process or Unmark As In Process, if you like.

  3. Select the link for a listed set of errors or search to filter the list further.

  4. Review notes for any listed error as needed: Select to display a popup showing the notes; you can select the link for a note to review it, and then close the popup(s) when you have finished.

  5. If appropriate, use group operationsClosedA group operation is a task that you can schedule or complete for several connections or other records by first selecting the group and then selecting the task. Unlabeled group operation dropdown fields appear over many tables in SalesConnect; to use them, first select the checkboxes for the listed records you want, and then select an operation from the list. on the Transaction Search page to mark one or more of the listed records as In Process, Not In Process, Pass Through, No Sales, or Exclude, or to add the same note for them.

    1. If you want to limit the records included, select checkboxes for those you want. If you want to include all listed records, don't select any checkboxes.

    2. Select the appropriate option in the Select a Group Operation list above the table.

      For most options, the status on the selected records is simply updated appropriately. For Add Note, an Add Archive Note page is shown that you can use to select the Canned Note and/or enter the custom Note that you want for all records. Be sure to select Add when you have finished.

  6. When you are ready to begin repairing an error condition, select the link for an error record you want to work, on the archive-specific Transaction Search page listing results. An archive-specific Transaction Detail page for the error is shown.

  7. Review the Original Trading Entities and Archive Status data, and use it to determine what needs to be done to handle the error. The Error Description field indicates the problem identified during processing. How you handle an error depends on the type of error and the data on the record. Here are some tips.

    Tips

  8. If appropriate, add notes to the record.

  9. If appropriate for the current error record, when the firm, office, and, if applicable, rep trading IDs in the Resolve To fields are correct, select the appropriate option in the Resolution Method field. Keep in mind that the option you select must make sense with the connections to which the error is to be resolved. The options are:

    • Add Alias to Selected Entity: Select to add the trading ID(s) from the error record to the selected connection(s).
    • Reassign to Selected Alias: Select to reassign the current error record to the trading ID selected in the Resolve To fields.
    • Pass-Through: Select to indicate that the current error record can be considered repaired/resolved to the level matched on the incoming record; any options you selected in Resolved To are ignored.
    • No Sale: Select to indicate that values for the current error record won't be included in sales summaries in SalesConnect.
    • Exclude: Select to indicate that the current error won't be written to tables of record in SalesConnect, as error records usually are, once repaired. (For instance, transaction error records are usually written to Transaction History as part of resolution, once they pass all validation checks.) Excluding an error record means that it is never included in standard views of data in SalesConnect and is never included in summary data.

    If you can't repair conditions for the current error without further research or other activity outside SalesConnect, select Cancel to close the popup without saving any of your changes.

  10. If appropriate for the selected Resolve To data and Resolution Method option, select Apply changes to all records with the same error?. This option applies the selected Resolve To data and Resolution Method options to all current error records in the active archive with the same error and the same original firm/office/rep trading IDs as the current record. You can select Same Error Count to show a popup you can use to review any such records.

  11. When you are ready to flag the current error as repaired, select Save. For records on which you've corrected the firm, office, and rep information to resolve the error, a list of accounts that may be updated with the selected information may be shown in a TA2000 Account Update popup; not all affected accounts may be listed. You can use checkboxes on this page to select those accounts you want to update with the selected connections, and results of the process used to attempt to update them are shown on the page. Close this popup when you have finished.

    When some or all errors for an archive have been handled, you can submit a request to reprocess that archive. Since reprocessing occurs at regularly scheduled intervals, this is optional. See Requesting Reprocessing for instructions.

Handling Asset Errors

  1. Using the Data Operations persona, select Asset Feeds from the Resolution menu. Or, select in the universal menu, and then select Feed Management Assets under Feeds.

  2. On the Feed Management Assets page, select the link for an asset archive. An archive-specific Asset Errors page is shown, listing current errors, aggregated by trade firm, trade office, and trade rep, in descending order by the number of errors.

    Tips

    • In-process (being worked) and repaired records have a shaded background.
    • You can use checkboxes to select records in the table—if you want all listed records, select no checkboxes—and then use table tools to Mark As In Process or Unmark As In Process, if you like.

  3. Select the link for a listed set of errors or search to filter the list further.

    • If you select a link on the Asset Errors page, the archive-specific Asset Search page is shown, listing the individual records with this error.
      1. Select Search.

      2. Choose a saved search or create a new search.

        1. Select Load Search, and then select an option to list saved searches in a popup:

          • Private to choose from searches saved for your use only.
          • Public to choose from searches saved for everyone.
          • Shared to choose from searches available to specific groups.
        2. Select for the search you want. Criteria from the search are loaded.
        3. Select Search on the Search page. Search results are displayed.
        4. Select the link for a listed result; the archive-specific Asset Search page is shown, listing the individual records with this error.
        1. If criteria from an earlier search are shown and you don't want to use them, you can select Clear All, or select Criteria Applied, and then X for items to clear them.

        2. Type or select criteria to include in the search.

          Tips

          • You must include at least one search value.
          • For some fields, you can select the type of comparison to use from a list after the search field.
          • Suggested values may be shown as you type; you can select a suggestion or continue typing.
          • For paired fields separated by To, you can search using a range: The first (from) value must be lower than the second (to) value.
          • If appears next to a field, you can select it to display a popup you can use to search for values for that field. When you choose values, the popup closes, and those values are listed for the field. You can select X for any value to remove it.
          • Any trading ID fields use Exact Match logic rather than Begins With logic.

        3. If you want to save the search:

          1. Select Save Search, then use the Save Search dialog to name it and select a security type for it:

            • Private if for your use only.
            • Public if for all operators. (You may not have this option.)
            • Shared if for just a specific group, and then pick a security rule or define a new one including the needed roles or operators.
          2. Select Save on the Save Search dialog. The search is now available using the Load Search option.
        4. When ready, select Search on the Search page. Search results are displayed.
        5. Select the link for a listed result; the archive-specific Asset Search page is shown, listing the individual records with this error.
  4. Review notes for any listed error as needed: Select to display a popup showing the notes; you can select the link for a note to review it, and then close the popup(s) when you have finished.

  5. If appropriate, use group operations on the Transaction Search page to mark one or more of the listed records as In Process, Not In Process, Pass Through, No Sales or Exclude, or to add the same note for them.

    1. If you want to limit the records included, select checkboxes for those you want. If you want to include all listed records, don't select any checkboxes.

    2. Select the appropriate option in the Select a Group Operation list above the table.

      For most options, the status on the selected records is simply updated appropriately. For Add Note, an Add Archive Note page is shown that you can use to select the Canned Note and/or enter the custom Note that you want for all records. Be sure to select Add when you have finished.

  6. When you are ready to begin repairing an error condition, select the link for an error record you want to work, on the archive-specific Asset Search page listing results. (In many cases, the first error record is the one with the largest absolute value.) An archive-specific Asset Detail page for the error is shown.

  7. Review the Original Trading Entities and Archive Status data, and use it to determine what needs to be done to handle the error. The Error Description field indicates the problem identified during processing. How you handle an error depends on the type of error and the data on the record. Here are some tips.

    Tips

    • You may be able to select TA2000 Account Maintenance to display related account maintenance data from TA2000 in a popup. Be sure to close the popup when you've finished reviewing this information.

    • For errors related to missing or invalid firm, office, or rep IDs, you'll generally want to work first with the Possible Matches Found section to select a firm, office, and rep to which the record should be linked.

      If appropriate, you can opt to resolve the record to the current match level; just select Pass-Through as the Resolution Method.

      • If possible, choose a matching rep to resolve the record to, as that's most likely to be correct.

        1. Select one of these links, if it displays a number indicating there are matches: FID Result, Firm/Office Matching Reps, Firm/RepMatching Reps, and Rep Name Matching Reps.

        2. On the displayed page, if there are existing SalesConnect reps that match, they are listed. If one looks correct:

          • For FID results, you may be able to add the necessary trading ID: Select , complete details on the displayed page, and then select Save. You may need to provide details for several trading IDs to complete this task. On the last page, select Select to choose this as the rep and trading ID to which the record should be resolved. The page closes and the archive detail page shows information about your selection.

          • For other matches:

            1. Select for the trading ID that you want.
            2. Review the displayed details for the rep and alias.
            3. Select Select to choose this as the rep and trading ID to which the record should be resolved. The page closes and the archive detail page shows information about your selection.

      • If no matches are available, you can search for an appropriate rep and trading ID or drill down from the firm and office to select an appropriate rep and trading ID to which the record will be resolved. If these tactics don't find an appropriate rep and trading ID, you may have the option to add a new rep and trading ID.

        1. Select Rep Search. A Rep Alias Drill page is displayed.
        2. Enter search criteria, and then select Search. Results are listed in a table.
        3. Select for the rep and trading ID you want. The page changes to show details for the selected rep and trading ID.

        4. Select Select to choose this as the rep and trading ID to which the record should be resolved. The page closes and the archive detail page shows information about your selection.

          If this isn't the appropriate rep, you can select Back to Criteria to return to the previous page; if you don't find an appropriate rep by searching, you may be able to add a new rep to resolve the record, as long as the appropriate office already exists in SalesConnect.

          1. Select Add Rep. An Add Contact page is shown in a new tab or window, completed with as many details as possible from the error record.
          2. Enter any additional information you were able to learn about the rep, and then select Save. As soon as the rep has been added, a page displays information about the rep.
          3. Select Select to choose this as the rep to which the record should be resolved. The page closes.
        1. Select Find Target. A Find Target page is displayed.

        2. Use the Select Firm section to select the correct firm. If the firm trading ID on the error record already exists in SalesConnect, you can select the Go to Trading ID link to select that firm, or you can find the firm in the table, and then select for it.

          • If there's no appropriate firm listed, you may be able to select Add Firm to begin adding it. See Adding a Firm for steps for that task.
          • Once you've selected a firm, you may be able to select Clear Firm to remove that selection and start again.

        3. Use the Select Office section to select the appropriate office. If the office trading ID on the error record already exists in SalesConnect, you can select the Go to Trading ID link to select that office , or you can find the office in the table, and then select for it.

          • If there's no appropriate office listed, you may be able to select Add Office to begin adding it. See Adding an Office for steps for that task.
          • Once you've selected an office, you may be able to select Clear Office to remove that selection and start again.

        4. Use the Select Rep section to select the appropriate rep. If the rep trading ID on the error record already exists in SalesConnect, you can select the Go to Trading ID link to select the rep associated with that rep trading ID, or you can find the rep in the table, and then select for him or her.

          • If there's no appropriate rep listed, you may be able to select Add Rep to begin adding him or her. See Adding a Contact or Rep for steps for that task.
          • Once you've selected a rep, you may be able to select Clear Rep to remove that selection and start again.

          Once you've selected the rep and trading ID you want, details are shown in the page.

        5. Select Select to choose this as the rep to which the record should be resolved. The popup closes and the archive detail page shows information about your selection.

      If the details in the Resolved To fields aren't correct after you have tried one of these options, try other options until the correct firm, office, and, if applicable, rep IDs are shown.

    • For errors related to missing or invalid data of other kinds, it's usually necessary to add or change data in a resolution list. See Maintaining Resolution Lists for steps. Once the needed data has been added, error records may be reprocessed and should now pass this validation check. While you can wait for the next scheduled reprocessing, you can also request reprocessing; each such request is scheduled for as soon as possible. See Requesting Reprocessing for steps.
  8. If appropriate, add notes to the record.

  9. If appropriate for the current error record, when the firm, office, and, if applicable, rep trading IDs in the Resolve To fields are correct, select the appropriate option in the Resolution Method field. Keep in mind that the option you select must make sense with the connections to which the error is to be resolved. The options are:

    • Add Alias to Selected Entity: Select to add the trading ID(s) from the error record to the selected connection(s).
    • Reassign to Selected Alias: Select to reassign the current error record to the trading ID selected in the Resolve To fields.
    • Pass-Through: Select to indicate that the current error record can be considered repaired/resolved to the level matched on the incoming record; any options you selected in Resolved To are ignored.
    • No Sale: Select to indicate that values for the current error record won't be included in sales summaries in SalesConnect.
    • Exclude: Select to indicate that the current error won't be written to tables of record in SalesConnect, as error records usually are, once repaired. Excluding an error record means that it is never included in standard views of data in SalesConnectand is never included in summary data.

    If you can't repair conditions for the current error without further research or other activity outside SalesConnect, select Cancel to close the popup without saving any of your changes.

  10. If appropriate for the selected Resolve To data and Resolution Method option, select Apply changes to all records with the same error?. This option applies the selected Resolve To data and Resolution Method options to all current error records in the active archive with the same error and the same original firm/office/rep trading IDs as the current record. You can select Same Error Count to show a popup you can use to review any such records.

  11. When you are ready to flag the current error as repaired, select Save. For records on which you've corrected the firm, office, and rep information to resolve the error, a list of accounts that may be updated with the selected information may be shown in a TA2000 Account Update popup; not all affected accounts may be listed. You can use checkboxes on this page to select those accounts you want to update with the selected connections, and results of the process used to attempt to update them are shown on the page. Close this popup when you have finished.

    When some or all errors for an archive have been handled, you can submit a request to reprocess that archive. Since reprocessing occurs at regularly scheduled intervals, this is optional. See Requesting Reprocessing for instructions.