The Counterparty Report provides a view of all counterparties with whom a firm has agreements in Composition, Execution, Stale or Executed states. This report provides additional party information including:
- Conformed/Non-Conformed Party Status
- Count of Agreements with Party
- Legal Entity Identifier
- Docs Party ID
- Give-Up Transfer Protocol adoption status
The report is available under the Users & Parties dropdown, through the Counterparty Report option.
Report Fields & Filters
The report consists of the five fields detailed below, and supports filtering and sorting on columns.
- Institution: Top level grouping under which a legal entity is organized. This grouping is purely for operational purposes, and does not denote a specific legal grouping.
- Party: Legal Entity with whom your party has agreements in any of the following states - Composition, Execution, Stale and Executed.
- LEI: Will show the party's Legal Entity Identifier (LEI), if one has been provided.
- Party ID: Unique system-generated identifier for the party in Docs.
- # Agreements: Count of agreements in Composition, Execution, Stale or Executed states with the party denoted in the Party column.
- Conformed?: Status of party as either a Conformed party (configured to electronically manage agreements in Docs), or Non-Conformed entity.
- Adopting Party? Status of party pertaining to adoption of the Give Up Agreement Transition Protocol.
Selecting the hyperlinked number in the "# Agreement" column opens a new Agreement Search tab, pre-populated with search criteria to show all in progress and executed agreements with the party in question. The Agreement Search page contains access to both the Docs Agreement Report as well as Agreement Pages through Agreement ID hyperlinks.
Non-Conformed Party Protocol Adoption Management
Non-Conformed Parties may adopt the Protocol by submitting their completed Adoption Letter to FIA Tech at Protocol@fia-tech.com.
To ensure prompt and accurate adoption, please ensure that Party Names are included in Adoption Letters exactly as they appear on Give-Up Agreements.
If you wish to adopt the Protocol in respect of a particular branch only, you must specify this branch as the Adopting Party. A separate Adoption Letter is required for each branch you wish to adopt the Protocol in respect of, save that if you do not specify a branch, you will be deemed to adopt this Protocol in respect of the entity named as the Adopting Party, with the option to act in respect of a given branch of such entity only by specifying such branch in the relevant Transition Notice.
If you are an Agent and act on behalf of multiple Principals, you may indicate the following in the signature block: “[Investment/Asset Manager/Trader], acting on behalf of all the Principals listed in the relevant Original GUA entered into between it (as Agent) and the other relevant Adopting Parties”. If such a signature block is used, a separate Adoption Letter for each Principal does not need to be submitted to FIA Tech and no specific names of Principals will be publicly disclosed on the FIA website in connection with this Protocol.
Additional details on managing Protocol adoption on behalf of non-conformed parties may be found in the Non-Conformed Party Adoption within the Counterparty Report section of the Give-Up Agreement Transfer Protocol Adoption - Conformed Parties article.
Search & Export Tools
The report page supports searching by Party name, outlined in green below, to further filter the displayed dataset. Additionally, users may export either the full set of report data, or the currently filtered view This may be accomplished by selecting either the "Full Report" or "Current View" buttons in the upper right of the page, outlined in orange, to generate an excel spreadsheet of report data.