Remediate Investment

Description

If the materials submitted to the asset manager are not in good order, the asset manager may submit a request for remediation, including:

• standard remediation reasons

• name of document with the issue

• document page number

• free text for ad-hoc messages

The following table outlines the standard remediation reasons.

Code	Reason
EC001	tax document deficiencies
EC002	investor information and AML KYC issues
EC003	sub doc issues
EC004	account issues
EC005	transaction data issues
EC006	other issues

The remediation flow requires:

1. Receive and parse notification with remediation reasons.

2. Update internal systems.

3. Update the subscription record.

Endpoints

Task	How	Error Codes
Remediate Digital Asset (Lot)	../primary/asset/{assetId}/remediate	AC0002 AC0006 AC0007 AC0009 AC0018 AC0019 AC0029 AC0050 AS0001 AS0002 AS0003 AS0004 AS0005 AS0017 AS0023 AU0001 AU0002 AU0003 CI0001 CI0002 CI0003 CT0019 CT0020 FL0001 FL0002 FL0003 FL0004 FL0005 FL0006 FL0010 FL0011 FL0017 FL0019 FL0020 FL0028 GN0002 IS0008 IS0009 IS0012 IS0013 IS0016 IS0099 IS0106 IV0002 IV0003 IV0009 IV0016 IV0017 IV0023 IV0036 IV0037 QU0001 QU0002 QU0003 QU0004 QU0005 QU0006 QU0007 QU0008 QU0009 QU0010

Error Codes and Messages

Key Validations

Type	Code	Message
Account	AC0006	Please provide ABA or SWIFT
Asset	AS0005	Asset '{assetId}' is in invalid state for the current action. Current status: '{currentState}'. Required status: '{allowedStates}'
Files	FL0010	Documents cannot be reused both as investor documents and transaction data documents
Issuance (Security)	IS0012	Security '{securityId}' is in invalid state for the current action. Current status: '{currentState}'. Required status: '{allowedStates}'
Investor	IV0023	Accreditation Other is not available for US investor

Other Business Rule Validations

Type	Code	Message
Account	AC0007	Intermediary bank account must be provided for further credit
	AC0029	Updating omnibus account is not allowed for current action.
Asset	AS0017	'{providedProp}' should not be provided. Expected property is '{expectedProp}'
Custodian	CT0019	Correlation data provided for existing custodian: '{custodianId}'
Files	FL0001	The following files could not be found in the correct status: '{fileIds}'
	FL0006	The file correlation ids '{correlationIds}' are already in use
	FL0011	Investor documents can only be reused by the investor that owns them
	FL0028	Concurrent execution. There are '{lockedAmount}' file(s) marked as locked by another process
Issuance (Security)	IS0016	Security '{securityId}' is not compatible with asset '{assetId}'
	IS0099	You do not have the role for this action on security '{securityId}'. Required roles: '{requiredRoles}'; current roles: '{currentRoles}'
Investor	IV0009	Investor type cannot be updated for existing accounts

Technical Validations

Type	Code	Message
Account	AC0002	Account with correlation Id '{correlationId}' not found.
	AC0009	The account correlation ids '${correlationIds}' are already in use
	AC0018	Can't create a new account using this action, please reference an existing account.
	AC0019	Account with Account ID '{accountId}' is not linked to asset. Please provide correct Account ID
	AC0050	Correlation id '{correlationId}' cannot be provided alongside account id '{accountId}' or booked account id '{bookedAccountId}'
Asset	AS0001	The asset id '{assetId}' is invalid
	AS0002	You are trying to access an asset that was never recorded on the ledger due to a failed transaction
	AS0003	Asset id was not provided
	AS0004	Asset '{assetId}' is locked for edit by another process. Please try again later.
	AS0023	Action can only be performed by the owner organization. Ids of the assets with the different owner: '{assetIds}'
Auth (OAuth)	AU0001	The access token is invalid or missing. Please provide a valid access token issued by the OAuth server using the client credentials grant (default location is on the authorization header).
	AU0002	You do not have access to this scope: '{scope}'
	AU0003	The core access token is invalid for organization '{orgId}'.
Contact Info	CI0001	Contact preference type 'other' requires 'additionalTypeInfo' to be provided.
	CI0002	Duplicate contact preference types found: '{duplicateTypes}' for subject: '{subject}'
	CI0003	Duplicate contact preference subject ids found: '{subjectIds}'
Custodian	CT0020	Correlation id '{correlationId}' cannot be provided alongside custodian id '{custodianId}' or booked custodian id '{bookedCustodianId}'
Files	FL0002	Provided data must contain either uploadData or fileId properties
	FL0003	Provided data cannot contain both uploadData and fileId
	FL0004	Found duplicated fileId '{fileId}' in multiple files
	FL0005	Found duplicated correlationId '{correlationId}' in multiple file
	FL0017	Two or more duplicated correlation ids '{orgCorrelationId}' were provided for file
	FL0019	Correlation id '{correlationId}' cannot be provided alongside file id '{fileId}'.
	FL0020	Multiple entries for the same file '{fileId}' detected in the payload.
Generic	GN0002	The payload you have supplied is invalid.
Issuance (Security)	IS0008	Security id was not provided
	IS0009	The security id '{securityId}' is invalid
	IS0013	Security '{securityId}' is restricted
	IS0106	Cannot provide both Security id and correlation data at same time
Investor	IV0002	Investor with correlation Id '{correlationId}' not found.
	IV0003	The investor correlation ids '{correlationIds}' are already in use
	IV0016	Duplicated investor ids detected
	IV0017	Duplicated investor correlation ids detected
	IV0036	Duplicated form PF data detected for type {type}"|technicalValidations|EC002|"Investor Information & AML/KYC Issue(s).
	IV0037	Correlation id '{correlationId}' cannot be provided alongside investor id '{investorId}' or booked investor id '{bookedInvestorId}'.
Questionnaires	QU0001	You cannot use 'allowedAnswerValues' in a question with the answerType '{currentAnswerType}'.
	QU0002	You cannot provide more than 1 answer in a question with the answerType '{currentAnswerType}'
	QU0003	The answer for the question with answerType '{currentAnswerType}' is expected to have exactly one '{expectedValue}' property. Provided properties: '{provided}'. Questionnaire type: '{questionnaireType}', question text: '{questionText}'.
	QU0004	The choice values '{provided}' is not part of the allowed answer values for question with the questionText: '{questionText}'. Questionnaire type: '{questionnaireType}'.
	QU0005	Duplicate answer ids found for question '{questionText}': '{ids}'. Questionnaire type: '{questionnaireType}'.
	QU0006	Duplicate values found for question '{questionText}': '{answers}'. Questionnaire type: '{questionnaireType}'.
	QU0007	Duplicate questionnaire ids found: '{ids}'.
	QU0008	Duplicate questionnaire types found: '{types}'.
	QU0009	Duplicate question ids found: '{ids}'. Questionnaire type: '{questionnaireType}'.
	QU0010	Duplicate allowed answer values found for question '{questionText}': '{values}'. Questionnaire type: '{questionnaireType}'.