Tracking Client File Failures

eRecs Client files will be picked up for processing during the firm’s scheduled end of day (EOD) processing time.

In order to be considered for daily processing the file must be in the Client Data File folder with the correct naming convention and file format prior to the scheduled processing time.

These files can be delivered via SFTP or manually uploaded to the Client Data File folder in the Reports Page. Files will be viewable in this folder whether they are sent SFTP or manually uploaded and eligible for loading in the EOD process.

The file must follow the naming convention, [FIRM]_INTERNAL_YYYYMMDD.csv and the contents within the file must be built out per the eRecs Client File spec.

After the EOD processing is complete where the Client file(s) are picked up to load into eRecs, eRecs will send out a client file validation email. This email is sent to the email address set up to receive the eRecs processing notification emails. This email includes a validation summary of the file(s) loaded into eRecs. If there were any validation errors meaning trades failed from loading into eRecs, they will be included. The email will also provide a path for an export available in the ClientFileErrors folder in the Reports page which also includes all the trade lines that failed from loading with validation errors included.

Email Example –

Distinct Row Count: 100
Duplicate Row Count: 0
Validation Error Count: 2
Not Identified Exchange Code: ABC

[FIRM]\data\outgoing\ClientFileErrors\/badRow_[FIRM]_INTERNAL_YYYYMMDD.csv
Trade with validation error will NOT be loaded
Validation Error Details:

1. 1. line 2: can not resolve exchange ABC
   2. line 3: col[17] exContractCode: missing

Directions to Export –

1. Log into Reports Portal - https://erecs.fia-tech.com/Rpts
2. Select the Reports folder in left panel
3. Select the “ClientFileErrors” folder
4. Select and download the file beginning badRow* and the file name
   • File name of the recent client file submitted to eRecs that had validation errors
5. File will contain all trade lines which failed from loading into eRecs with validation errors

Any trades detailed in the Validation Email and Export are expected to be correct and resubmitted by the firm.

If the validation error is due to missing exchange aliasing, please send request for an exchange alias to be created to erecs.support@fia-tech.com. After aliasing is created, trades need to be resubmitted by the firm for loading.