How to handle report and extraction tickets: the report catalogue, the request checklist, diagnosis of failed, empty or incorrect reports, and regulatory reporting specifics (CSDR).
¶ Report catalogue (main families)
- Client reporting: custody statements (positions and valuations), transaction statements, income advices. Generated in the night chain after reconciliation, distributed via the client portal, SWIFT or email.
- Regulatory reporting: CSDR settlement fails reporting, internalised settlement report (art. 9), penalty reconciliation extracts.
- Operational reports: fails monitor export, breaks and ageing report, corporate action diary, pending instructions by market cut-off.
- Ad hoc extractions: one-off data pulls delivered as CSV/XLSX, e.g. for audits, migrations or client due diligence.
Before creating a development or configuration task, capture:
- Business need and recipient (client, regulator, internal team, auditor).
- Perimeter: accounts, markets, ISINs, date range.
- Position basis: traded or settled view — the most common source of "wrong figures" complaints.
- Valuation: which price snapshot and FX rate date.
- Format and delivery: CSV/XLSX/PDF, portal, sFTP, email, frequency, business day calendar.
- Classification: client data leaves the bank only via approved channels; personal data requires compliance sign-off.
- Report did not generate: check the scheduled job in the batch monitor and its dependencies — most client reports wait for the reconciliation step; a batch delay upstream means a late report, not a report defect.
- Report empty: was the perimeter filter (account group, market) changed recently? A renamed account group silently empties a report.
- Wrong valuations: identify the price snapshot actually used (generation log) — a stale snapshot or a rerun on the wrong business date explains most cases. Regenerate after fixing, and version the corrected report so the client sees a single final edition.
- Figures differ from another system: compare position basis (traded vs settled) and valuation date first; only then suspect the data itself.
- Export truncated / encoding issues: check for special characters in narrative fields and the delimiter configuration; never hand-edit a delivered file.
- The fails reporting extract is built from settlement instruction statuses; late status integration (batch delay) understates fails — rerun the extract after the queues catch up, before submission.
- Penalty reports from the CSD are reconciled monthly against GLOSS penalty records; differences feed the appeals process (see the settlement runbook).
- Regulatory submissions are versioned: never overwrite a submitted file, produce a correction version.
- Any recurring manual extraction is a candidate for scheduling — raise an improvement request instead of running it by hand forever.
- Confirm the position basis and valuation date in writing before building anything.
- A report change for one client must not silently change other clients' editions — check shared templates.
Regulatory deadline at risk → compliance officer and L2 immediately. Wrong client-facing figures already distributed → Client Services + management the same day, with a corrected edition plan.