Collecting Filing Data

The initial release of ArcFiling requires the use of standard ingestion templates provided by DFIN to collect data.

Acquiring a Data Ingestion Template

A standard data ingestion template is available for download, along with a summary of the template package.

Populating a Data Ingestion Template

General Data Acceptance Rules

The following data acceptance rules must be adhered to when populating the standard ingestion template for any filing:

Source files must be in .xlsx, .csv or .txt (tab- or pipe-delimited) format.
1. Files of .xlsx format can be ingested via SFTP using the “All” folder. Files in this format can also be ingested via the user interface (see SFTP Upload and User Interface Upload for more info).
  
  Data ingestion files must contain all tabs included in the standard template.
2. Files of .csv and .txt (tab- or pipe-delimited) format can be ingested via SFTP using individual load type folders (see SFTP Upload for more info).
Data must adhere to the correct data type. The following are examples of data mismatches that would be rejected from the system:
1. Text characters in “Numeric” columns.
2. Text characters in “Date” columns.
3. Date values in “Numeric” columns.
4. Invalid date values (e.g., “99/99/99”).
5. Data values of the correct type that exceed the expected character length.

Form N-CEN Data Acceptance Rules

Prior to import of the N-CEN ingestion template, the target complex, registrant, fund group(s), and fund(s) must be set up in the “Fund Administration” area. These items may be imported using the “Funds”, “Classes” and “Legal Entity” tabs of the N-PORT ingestion template.

Form N-PORT Data Acceptance Rules

Posting a Data Ingestion Template for Review & Approval

Ingestion of data in the standard templates provided requires the use of SFTP or the application user interface. You can transfer data templates for use in ArcFiling by following the steps outlined below.

SFTP Upload

Open your FTP client application and enter the secure FTP site: sftp.dfsco.com
Enter your username and password (credentials for the SFTP site will be provided by DFIN under separate cover).
Click the “Connect” or other applicable button to log in.
Navigate to the remote folder path that corresponds with your ingestion/form type.
1. Form N-CEN
  
  /inUAT/CLIENT/NCEN/All (where “CLIENT” is your company’s name)
2. Form N-PORT
  
  /inUAT/CLIENT/NPORT (where “CLIENT” is your company’s name)
Drop your source file(s) in the “All” folder beneath the folder representing your form type (form N-CEN or N-PORT), or in the individual folder representing your specific ingestion data type (form N-PORT).

Ingestion template drop folder structure

User Interface Upload

Click the “Overview” link in the side navigation panel for form N-CEN or N-PORT.
Click the “Upload data” button at upper-right of the overview screen.
Click the “Select file” button on the dialogue that displays to browse for and specify the .xlsx file you wish to upload.

You must use an Excel ingestion file that includes all relevant tabs in order for the file to load successfully. Tabs that are not necessary for the upload can be left blank.
After selecting a source file, click the “Upload” button at lower-right of the dialogue.

Form N-PORT Holdings Data Enrichment

If you have not signed up for services with a data services vendor, the button is still visible, but does not send any holdings data to any vendor.