SWIFT ISO15022 Norm
Detailansicht für Nachricht MT564 - Benachrichtigung zu einer Kapitalmaßnahme
Verwendung der Nachricht MT564 
Provides an account owner with details of a corporate action event and the choices available to the account owner. It also provides the account owner with details on the impact a corporate action event will have on a safekeeping or cash account, for example, entitlement calculation
Anwendungsfeld der Nachricht MT564
This message is sent by an account servicer (account servicing institution) to an account owner or its designated agent. The account servicer may be a local agent (sub-custodian) acting on behalf of their global custodian customer, or a custodian acting on behalf of an investment management institution or a broker/dealer.
This message is used to provide an account owner with the details of a corporate action event along with the possible elections or choices available to the account owner. It can be initially sent as a preliminary advice and subsequently replaced by another MT 564 with complete or confirmed information.
This message will also be used to provide the account owner with details of the impact a corporate action event will have on a safekeeping or cash account, for example, entitlement calculation.
This message may also be used to provide the account owner with a preliminary advise of upcoming postings or reversal of securities and/or cash postings.
This message may also be sent by an information provider, such as a market data provider or a stock exchange, to provide details of a corporate action event.
This message may also be used to:
- request the cancellation of a previously sent corporate action notification
- re-send a corporate action notification previously sent
- provide a third party with a copy of the message.
Struktur der Nachricht MT564
Sequenz A - General information [ obligatorisch, nicht wiederholend ]
No.
Tag
Option
Name
Status
1
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
2
28E
Page Number/Continuation Indicator
O
Definition
This field provides the page number and a continuation indicator to indicate that the multi-parts notification is to continue or that the message is the last page of the multi-parts notification.Format
| Option E | 5n/4!c | (Page Number)(Continuation Indicator) |
Codes
Continuation Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Last Page: Last page of a multi-parts notification with more than one page.
Intermediate Page: Intermediate page of a multi-parts notification which contains additional pages.
Only Page: Only page of the notification.
3
20C
Reference
M
Definition
This qualified generic field specifies:| COAF | Official Corporate Action Event Reference | Official and unique reference assigned by the official central body/entity within each market at the beginning of a corporate action event. |
| CORP | Corporate Action Reference | Reference assigned by the account servicer to unambiguously identify a corporate action event. |
| SEME | Sender's Message Reference | Reference assigned by the Sender to unambiguously identify the message. |
Format
| Option C | :4!c//16x | (Qualifier)(Reference) |
4
23G
Function of the Message
M
Definition
This field identifies the function of the message.Format
| Option G | 4!c[/4!c] | (Function)(Subfunction) |
Codes
Function must contain one of the following codes:
Code
Bedeutung des Codes
Additional Business Process: Message sent to notify an additional business process to a corporate action.
Cancellation Advice: Message to cancel a corporate action event previously announced by the account servicer or a previously sent Preliminary Advice of Payment message (:22F::ADDB//CAPA in sequence D).
New: New message.
Eligible Balance Notification: Message reporting an eligible balance that may or may not include an entitlement calculation or a revised entitlement calculation.
Replacement: Message replacing a previously sent message.
Reminder: Message sent as a reminder of an event taking place.
Withdrawal: Message sent to void a previously sent notification due to the withdrawal of the event or offer by the issuer.
Subfunction, when present, must contain one of the following codes:
Code
Bedeutung des Codes
Copy Duplicate: Message is a copy to a party other than the account owner/account servicer, for information purposes and the message is a duplicate of a message previously sent.
Copy: Message is a copy to a party other than the account owner/account servicer, for information purposes.
Duplicate: Message is for information/confirmation purposes. It is a duplicate of a message previously sent.
5
22F
Indicator
M
Definition
This qualified generic field specifies:| CAEP | Corporate Action Event Processing | Type of processing involved by a Corporate Action. |
| CAEV | Corporate Action Event Indicator | Specifies the type of corporate event. |
| CAMV | Mandatory/Voluntary Indicator | Specifies whether the event is mandatory, mandatory with options or voluntary. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier (3)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | BOLQ | N | F | Corporate Action Event Processing | |
| 2 | O | BOOK | N | C4, C6, C10, C11 | F | Corporate Action Event Indicator |
| 3 | O | BORE | N | F | Mandatory/Voluntary Indicator |
Codes
If Qualifier is CAEP and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
CA Results in a Distribution: The holder of the relevant security on a certain date, for example, the record date, will receive a benefit without giving up the underlying security.
General: No debit or credit of resources.
CA Results in a Reorganisation: The underlying security will be debited and may be replaced by another resource (or resources).
If Qualifier is CAEV and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Accumulation: Funds related event in which the income (for example accumulation units) that accrues during an accounting period is retained within the fund instead of being paid away to investors. The retained income is nonetheless deemed to have been distributed to investors for tax purposes.
Trading Status: Active: Trading in the security has commenced or security has been re-activated after a suspension in trading.
Attachment: Combination of different security types to create a unit. Units are usually comprised of warrants and bonds or warrants and equities. Securities may be combined at the request of the security holder or based on market convention.
Repurchase Offer/Issuer Bid/Reverse Rights: Offer to existing holders by the issuing company to repurchase its own securities. The objective of the offer is to reduce the number of outstanding securities.
Bond Holder Meeting: Physical meeting of bond holders.
Bonus Issue/Capitalisation Issue: Bonus or capitalisation issue. Security holders receive additional assets free of payment from the issuer, in proportion to their holding.
Put Redemption: Early redemption of a security at the election of the holder subject to the terms and condition of the issue with no reduction in nominal value.
Bankruptcy: Legal status of a company unable to pay creditors. Bankruptcy usually involves a formal court ruling. Securities may become valueless.
Capital Distribution: The Corporate event pays shareholders an amount in cash issued from the Capital account. There is no reduction to the face value of a single share (or the share has no par value). The number of circulating shares remains unchanged.
Capital Gains Distribution: Distribution of profits resulting from the sale of company assets, for example, Shareholders of Mutual Funds, Unit Trusts, or Sicavs are recipients of capital gains distributions which are often reinvested in additional shares of the fund.
Capitalisation: Increase of the current principal of a debt instrument without increasing the nominal value. It normally arises from the incorporation of due but unpaid interest into the principal. This is commonly done by increasing the pool factor value, for example, capitalisation, and negative amortisation.
Non-US TEFRA D Certification: Non-US beneficial owner certification requirement for exchange of temporary to permanent notes.
Change: Information regarding a change further described in the corporate action details.
Class Action/Proposed Settlement: Situation where interested parties seek restitution for financial loss. The security holder may be offered the opportunity to join a class action proceeding and would need to respond with an instruction.
Court Meeting: Announcement of a meeting at a Court.
Consent: Procedure that aims to obtain consent of holder to a proposal by the issuer or a third party without convening a meeting. For example, consent to change the terms of a bond.
Conversion: Conversion of securities (generally convertible bonds or preferred shares) into another form of securities (usually common shares) at a pre-stated price/ratio.
Company Option: A Company Option may be granted by the company, allowing the holder to take up shares at some future date(s) at a pre arranged price in the company. A company may not grant options which enable the holder to take up unissued shares at a time which is five or more years from the date of the grant. Option holders are not members of a company. They are contingent creditors of a company and hence may, in some instances, be entitled to vote on and be bound by a scheme of arrangement between the creditors and the company. As many options have multiple exercise periods a company option will either lapse or carry on to the next expiry date.
Credit Event: An occurrence of credit derivative for which the issuer of one or several underlying securities is unable to fulfill his financial obligations (as defined in terms and conditions).
Decrease in Value: Reduction of face value of a single share or the value of fund assets. The number of circulating shares/units remains unchanged. This event may include a cash payout to holders.
Detachment: Separation of components that comprise a security, for example, usually units comprised of warrants and bond or warrants and equity. Units may be broken up at the request of the security holder or based on market convention.
Bond Default: Failure by the company to perform obligations defined as default events under the bond agreement and that have not been remedied.
Trading Status: Delisted: Security is no longer able to comply with the listing requirements of a stock exchange and is removed from official board quotation.
Drawing: Redemption in part before the scheduled final maturity date of a security. Drawing is distinct from partial call since drawn bonds are chosen by lottery and with no reduction in nominal value.
Cash Distribution From Non-Eligible Securities Sales: Distribution to shareholders of cash resulting from the selling of non-eligible securities, for example, in the frame of a depositary receipt program.
Dividend Reinvestment: Dividend payment where holders can keep cash or have the cash reinvested in the market by the issuer into additional shares in the issuing company. To be distinguished from DVOP as the company invests the dividend in the market rather than creating new share capital in exchange for the dividend.
Disclosure: Requirement for holders or beneficial owners to disclose their name, location and holdings of any issue to the issuer.
Dutch Auction: An action by a party wishing to acquire a security. Holders of the security are invited to make an offer to sell, within a specific price range. The acquiring party will buy from the holder with lowest offer.
Cash Dividend: Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency.
Dividend Option: Distribution of a dividend to shareholders with a choice of benefit to receive. Shareholders may choose to receive shares or cash. To be distinguished from DRIP as the company creates new share capital in exchange for the dividend rather than investing the dividend in the market.
Scrip Dividend/Payment: Dividend or interest paid in the form of scrip.
Stock Dividend: Dividend paid to shareholders in the form of equities of the issuing corporation.
Exchange: Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation".
Call on Intermediate Securities: Call or exercise on nil paid securities or intermediate securities resulting from an intermediate securities distribution (RHDI). This code is used for the second event, when an intermediate securities' issue (rights/coupons) is composed of two events, the first event being the distribution of intermediate securities.
Maturity Extension: As stipulated in a bond's Terms and Conditions, the issuer or the bond-holder may prolong the maturity date of a bond. After extension, the security may differ from original issue (new rate or maturity date). May be subject to bondholder's approval.
Warrant Exercise: Option offered to holders to buy (call warrant) or to sell (put warrant) a specific amount of stock, cash, or commodity, at a predetermined price, during a predetermined period of time (which usually corresponds to the life of the issue).
Increase in Value: Increase in the face value of a single security. The number of circulating securities remains unchanged.
Information: Information provided by the issuer having no accounting/financial impact on the holder.
Interest Payment: Interest payment distributed to holders of an interest bearing asset.
Liquidation Dividend/Liquidation Payment: A distribution of cash, assets or both. Debt may be paid in order of priority based on preferred claims to assets specified by the security.
Full Call/Early Redemption: The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, before final maturity.
Annual General Meeting: Annual general meeting.
Merger: Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange.
Non-Official Offer: Offers that are not supervised or regulated by an official entity and being offered by a party, for example a broker, usually at a discount price, for example broker offer, mini-tender, mini odd lot offer or third party offer.
Odd Lot Sale/Purchase: Sale or purchase of odd-lots to/from the issuing company, initiated either by the holder of the security or through an offer made by the issuer.
Ordinary General Meeting: Ordinary general meeting.
Other Event: Other event, use only when no other event type applies, for example, a new event type.
Pari-Passu: Occurs when securities with different characteristics, for example, shares with different entitlements to dividend or voting rights, become identical in all respects, for example, pari-passu or assimilation. May be scheduled in advance, for example, shares resulting from a bonus may become fungible after a pre-set period of time, or may result from outside events, for example, merger, reorganisation, issue of supplementary tranches, etc.
Partial Redemption With Reduction of Nominal Value: Securities are redeemed in part before their scheduled final maturity date with reduction of the nominal value of the securities. The outstanding amount of securities will be reduced proportionally.
Partial Defeasance/Pre-Funding: Issuer has money set aside to redeem a portion of an issue and the indenture states that the securities could be called earlier than the stated maturity.
Pay In Kind: Interest payment, in any kind except cash, distributed to holders of an interest bearing asset.
Place of Incorporation: Changes in the state of incorporation for US companies and changes in the place of incorporation for foreign companies. Where shares need to be registered following the incorporation change, the holder(s) may have to elect the registrar.
Instalment Call: An instalment towards the purchase of equity capital, subject to an agreement between an issuer and a purchaser.
Partial Redemption Without Reduction of Nominal Value: Securities are redeemed in part before their scheduled final maturity date without reduction of the nominal value of the securities. This is commonly done by pool factor reduction.
Interest Payment with Principal: An event which consists of two components, the decrease of the amortized value of a pool factor security and an interest payment.
Priority Issue: Form of open or public offer where, due to a limited amount of securities available, priority is given to existing shareholders.
Final Maturity: The redemption of an entire issue outstanding of securities, for example, bonds, preferred equity, funds, by the issuer or its agent, for example, asset manager, at final maturity.
Redenomination: Event by which the unit (currency and/or nominal) of a security is restated, for example, nominal/par value of security in a national currency is restated in another currency.
Remarketing Agreement: Purchase and sale of remarketed preferred equities/bonds through the negotiation of interest rate between the issuers and the holders.
Intermediate Securities Distribution: The distribution of intermediate securities that gives the holder the right to take part in a future event.
Rights Issue/Subscription Rights/Rights Offer: Offer to holders of a security to subscribe for additional securities via the distribution of an intermediate security. Both processes are included in the same event.
Shares Premium Dividend: This corporate event pays shareholders an amount in cash issued from the shares premium reserve. It is similar to a dividend but with different tax implications.
Smallest Negotiable Unit: Modification of the smallest negotiable unit of shares in order to obtain a new negotiable unit.
Spin-Off: A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment.
Stock Split/Change in Nominal Value/Subdivision: Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly.
Reverse Stock Split/Change in Nominal Value: Decrease in a company's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are increased accordingly.
Trading Status: Suspended: Trading in the security has been suspended.
Tender/Acquisition/Takeover/Purchase Offer: An offer made to holders by a third party, requesting them to sell (tender) or exchange their securities.
Tax Reclaim: Event related to tax reclaim activities.
Worthless: Booking out of valueless securities.
Withholding Tax Relief Certification: Certification process for withholding tax reduction or exemption based on the tax status of the holder.
Extraordinary or Special General Meeting: Extraordinary or special general meeting.
If Qualifier is CAMV and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Mandatory CA Event; Instruction Required: Participation in the corporate action is mandatory and further instructions from the account owner are required, unless a default option has been specified.
Mandatory CA Event; No Instruction Required: Participation in CA event is mandatory. Further instructions from the account owner are not required.
Voluntary CA Event; Instruction Required to Participate: Participation in the corporate action is voluntary. If the owner wishes to take part in the event, instructions from the account owner are required.
6
98a
A
Date/Time: Preparation Date
O
C
Definition
This qualified generic field specifies:| PREP | Preparation Date | Date on which message was prepared. |
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
| Option C | :4!c//8!n6!n | (Qualifier)(Date)(Time) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MAXP | N | A, C | Preparation Date |
7
25D
Status Code: Processing Status
M
Definition
This qualified generic field specifies:| PROC | Processing Status | Specifies the status of the details of the event. |
Format
| Option D | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Status Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MET3 | N | C14, C17 | D | Processing Status |
Codes
If Data Source Scheme is not present, Status Code must contain one of the following codes:
Code
Bedeutung des Codes
Complete: Message contains complete details of the corporate action event at the time the event is communicated and the occurrence of the event has been confirmed by the account servicer's chosen official source. Further updates to the event are still possible.
Complete Unconfirmed: Message contains complete details of the corporate action event at the time the event is communicated but the occurrence of the event has not been confirmed by the account servicer's chosen official source. Further updates to the event are still possible.
With Entitlement: The message contains entitlements.
Preliminary Announcement: Confirmed: Message may not contain complete details of the corporate action event, however, the occurrence of the event has been confirmed by the account servicer's chosen official source.
Preliminary Announcement: Unconfirmed: Message may not contain complete details of the corporate action event and the occurrence of the event has not been confirmed by the account servicer's chosen official source at the time message was sent.
Sequenz A1 - Linkages [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
8
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
9
22F
Indicator: Linkage Type Indicator
O
Definition
This qualified generic field specifies:| LINK | Linkage Type Indicator | Specifies when the instruction is to be executed relative to a linked instruction. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | EXPO | N | F | Linkage Type Indicator |
Codes
If Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
After: Indicates that the message is to be processed after the linked message.
Before: Indicates that the message is to be processed before the linked message.
Information: Indicates that the messages are linked for information purposes only.
With: Indicates that the message is to be processed with the linked message.
10
13a
A
Number Identification: Linked Message
O
B
Definition
This qualified generic field specifies:| LINK | Linked Message | Message type number or message identifier of the message referenced in the linkage sequence. |
Format
| Option A | :4!c//3!c | (Qualifier)(Number Id) |
| Option B | :4!c/[8c]/30x | (Qualifier)(Data Source Scheme)(Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | EXPO | N | A, B | Linked Message |
11
20C
Reference
M
Definition
This qualified generic field specifies:| CACN | Case Number | Reference assigned by a court to a class action. |
| COAF | Official Corporate Action Event Reference | Official and unique reference assigned by the official central body/entity within each market at the beginning of a corporate action event. |
| CORP | Corporate Action Reference | Reference assigned by the account servicer to unambiguously identify a related corporate action event. |
| PREV | Previous Message Reference | Message reference of the linked message which was previously sent. |
| RELA | Related Message Reference | Message reference of the linked message which was previously received. |
Format
| Option C | :4!c//16x | (Qualifier)(Reference) |
12
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
13
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Sequenz B - Underlying Securities [ obligatorisch, nicht wiederholend ]
No.
Tag
Option
Name
Status
14
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Underlying Securities
15
35B
Identification of the Financial Instrument
M
Definition
This field identifies the financial instrument.Format
| Option B | [ISIN1!e12!c] [4*35x] | (Identification of Security) (Description of Security) |
Sequenz B1 - Financial Instrument Attributes [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
16
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Financial Instrument Attributes
17
94B
Place: Place of Listing
O
Definition
This qualified generic field specifies:| PLIS | Place of Listing | Place where the referenced financial instrument is listed. |
Format
| Option B | :4!c/[8c]/4!c[/30x] | (Qualifier)(Data Source Scheme)(Place Code)(Narrative) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MAEX | N | B | Place of Listing |
Codes
If Data Source Scheme is not present, Place Code must contain one of the following codes:
Code
Bedeutung des Codes
Stock Exchange: Place of listing is a stock exchange.
Over The Counter: Place of listing is over the counter.
Primary Market: Place of listing is the primary market.
Secondary Market: Place of listing is the secondary market.
18
22F
Indicator: Method of Interest Computation Indicator
O
Definition
This qualified generic field specifies:| MICO | Method of Interest Computation Indicator | Specifies the computation method of (accrued) interest of the financial instrument. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | GALO | N | F | Method of Interest Computation Indicator |
Codes
If Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
30/360 (ISDA) or 30/360 (American Basic Rule): Method whereby interest is calculated based on a 30-day month and a 360-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month, except for February, and provided that the interest period started on a 30th or a 31st. This means that a 31st is assumed to be a 30th if the period started on a 30th or a 31st and the 28 Feb (or 29 Feb for a leap year) is assumed to be a 28th (or 29th). It is the most commonly used 30/360 method for US straight and convertible bonds.
30/365: Method whereby interest is calculated based on a 30-day month in a way similar to the 30/360 (basic rule) and a 365-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month, except for February. This means that a 31st is assumed to be a 30th and the 28 Feb (or 29 Feb for a leap year) is assumed to be a 28th (or 29th).
30/Actual: Method whereby interest is calculated based on a 30-day month in a way similar to the 30/360 (basic rule) and the assumed number of days in a year in a way similar to the Actual/Actual (ICMA). Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month, except for February. This means that a 31st is assumed to be a 30th and the 28 Feb (or 29 Feb for a leap year) is assumed to be a 28th (or 29th). The assumed number of days in a year is computed as the actual number of days in the coupon period multiplied by the number of interest payments in the year.
Actual/360: Method whereby interest is calculated based on the actual number of accrued days in the interest period and a 360-day year.
Actual/365 (Fixed): Method whereby interest is calculated based on the actual number of accrued days in the interest period and a 365-day year.
Actual/Actual (ICMA): Method whereby interest is calculated based on the actual number of accrued days and the assumed number of days in a year, that is, the actual number of days in the coupon period multiplied by the number of interest payments in the year. If the coupon period is irregular (first or last coupon), it is extended or split into quasi interest periods that have the length of a regular coupon period and the computation is operated separately on each quasi interest period and the intermediate results are summed up.
30E/360 or Eurobond basis: Method whereby interest is calculated based on a 30-day month and a 360-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month. This means that a 31st is assumed to be a 30th and the 28 Feb (or 29 Feb for a leap year) is assumed to be equivalent to a 30 Feb. However, if the last day of the maturity coupon period is the last day of February, it will not be assumed to be a 30th. It is a variation of the 30/360 (ICMA) method commonly used for eurobonds. The usage of this variation is only relevant when the coupon periods are scheduled to end on the last day of the month.
Actual/Actual (ISDA): Method whereby interest is calculated based on the actual number of accrued days of the interest period that fall on a normal year, divided by 365, added to the actual number of days of the interest period that fall on a leap year, divided by 366.
Actual/365L or Actual/Actual (basic rule): Method whereby interest is calculated based on the actual number of accrued days and a 365-day year (if the coupon payment date is NOT in a leap year) or a 366-day year (if the coupon payment date is in a leap year).
Actual/Actual (AFB): Method whereby interest is calculated based on the actual number of accrued days and a 366-day year (if 29 Feb falls in the coupon period) or a 365-day year (if 29 Feb does not fall in the coupon period). If a coupon period is longer than one year, it is split by repetitively separating full year sub-periods counting backwards from the end of the coupon period (a year backwards from a 28 Feb being 29 Feb, if it exists). The first of the sub-periods starts on the start date of the accrued interest period and thus is possibly shorter than a year. Then the interest computation is operated separately on each sub-period and the intermediate results are summed up.
30/360 (ICMA) or 30/360 (basic rule): Method whereby interest is calculated based on a 30-day month and a 360-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month, except for February. This means that a 31st is assumed to be a 30th and the 28 Feb (or 29 Feb for a leap year) is assumed to be a 28th (or 29th). It is the most commonly used 30/360 method for non-US straight and convertible bonds issued before 01/01/1999.
30E2/360 or Eurobond basis model 2: Method whereby interest is calculated based on a 30-day month and a 360-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month, except for the last day of February whose day of the month value shall be adapted to the value of the first day of the interest period if the latter is higher and if the period is one of a regular schedule. This means that a 31st is assumed to be a 30th and the 28th Feb of a non-leap year is assumed to be equivalent to a 29th Feb when the first day of the interest period is a 29th, or to a 30th Feb when the first day of the interest period is a 30th or a 31st. The 29th Feb of a leap year is assumed to be equivalent to a 30th Feb when the first day of the interest period is a 30th or a 31st. Similarly, if the coupon period starts on the last day of February, it is assumed to produce only one day of interest in February as if it was starting on a 30th Feb when the end of the period is a 30th or a 31st, or two days of interest in February when the end of the period is a 29th, or 3 days of interest in February when it is the 28th Feb of a non-leap year and the end of the period is before the 29th.
30E3/360 or Eurobond basis model 3: Method whereby interest is calculated based on a 30-day month and a 360-day year. Accrued interest to a value date on the last day of a month shall be the same as to the 30th calendar day of the same month. This means that a 31st is assumed to be a 30th and the 28 Feb (or 29 Feb for a leap year) is assumed to be equivalent to a 30 Feb. It is a variation of the 30E/360 (or Eurobond basis) method where the last day of February is always assumed to be a 30th, even if it is the last day of the maturity coupon period.
Actual/365NL or Actual/365 No Leap: Method whereby interest is calculated based on the actual number of accrued days in the interest period, excluding any leap day from the count, and a 365-day year.
Other: Other method than A001-A014. See Narrative.
19
12a
A
Type of Financial Instrument
O
B
C
Definition
This qualified generic field specifies:| CLAS | Classification Type | Classification type of the financial instrument, for example, ISO Classification of Financial instrument (CFI). |
| OPST | Option Style | Specifies how an option can be exercised. |
Format
| Option A | :4!c/[8c]/30x | (Qualifier)(Data Source Scheme)(Instrument Code or Description) |
| Option B | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Instrument Type Code) |
| Option C | :4!c//6!c | (Qualifier)(CFI Code) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | CAON | N | A, C | Classification Type | |
| 2 | F | LAPD | N | B | Option Style |
Codes
In option B, if Qualifier is OPST and Data Source Scheme is not present, Instrument Type Code must contain one of the following codes:
Code
Bedeutung des Codes
American Style: Option can be exercised before or on expiry date.
European Style: Option can be exercised on expiry date only.
20
11A
Currency: Currency of Denomination
O
Definition
This qualified generic field specifies:| DENO | Currency of Denomination | Currency in which a financial instrument is currently denominated. |
Format
| Option A | :4!c//3!a | (Qualifier)(Currency Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COLL | N | A | Currency of Denomination |
21
98A
Date/Time
O
Definition
This qualified generic field specifies:| CALD | Call Date | Date on which a financial instrument is called away/redeemed before its scheduled maturity. |
| CONV | Conversion Date | Deadline by which a convertible security must be converted, according to the terms of the issue. |
| COUP | Coupon Date | Next payment date of an interest bearing financial instrument. |
| DDTE | Dated Date | Date on which an interest bearing financial instrument begins to accrue interest. |
| EXPI | Expiry Date | Date on which an order expires or at which a privilege or offer terminates. |
| FRNR | Floating Rate Fixing Date | Date on which the interest rate or redemption price will be/was calculated, according to the terms of the issue. |
| ISSU | Issue Date | Date on which the financial instrument is issued. |
| MATU | Maturity Date | Date on which a financial instrument becomes due and assets are to be repaid. |
| PUTT | Put Date | Date on which a holder of a financial instrument has the right to request redemption of the principal amount prior to its scheduled maturity date. |
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
Qualifier (9)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | CLBR | N | A | Coupon Date | |
| 2 | F | DEAL | N | A | Expiry Date | |
| 3 | F | DIRT | N | A | Floating Rate Fixing Date | |
| 4 | F | FSBN | N | A | Maturity Date | |
| 5 | F | ETC2 | N | A | Issue Date | |
| 6 | F | BOOK | N | A | Call Date | |
| 7 | F | MKTV | N | A | Put Date | |
| 8 | F | COFF | N | A | Dated Date | |
| 9 | F | CINL | N | A | Conversion Date |
22
92a
A
Rate
O
D
K
Definition
This qualified generic field specifies:| DECL | Percentage of Debt Claims | Percentage of the underlying assets of a fund that represents a debt, for example, in the context of the EU Savings directive. |
| INTR | Interest Rate | Annual rate of a financial instrument. |
| NWFC | Next Factor | Factor used to calculate the value of the outstanding principal of the financial instrument (for factored securities) that will applicable after the redemption (factor) date. |
| NXRT | Next Interest Rate | Interest rate applicable to the next interest payment period in relation to variable rate instruments. |
| PRFC | Previous Factor | Factor used to calculate the value of the outstanding principal of the financial instrument (for factored securities) until the next redemption (factor) date. |
| WAPA | Warrant Parity | Provides the ratio between the quantity of warrants and the quantity of underlying securities. |
Format
| Option A | :4!c//[N]15d | (Qualifier)(Sign)(Rate) |
| Option D | :4!c//15d/15d | (Qualifier)(Quantity1)(Quantity2) |
| Option K | :4!c//4!c | (Qualifier)(Rate Type Code) |
Qualifier (6)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MEET | N | A, K | Previous Factor | |
| 2 | F | INVE | N | A, K | Next Factor | |
| 3 | F | ESTT | N | A, K | Interest Rate | |
| 4 | F | IPRC | N | A, K | Next Interest Rate | |
| 5 | F | COLE | N | A, K | Percentage of Debt Claims | |
| 6 | F | REMA | N | D | Warrant Parity |
Codes
In option K, Rate Type Code must contain the following code:
Code
Bedeutung des Codes
Unknown Rate: Rate is unknown by the sender or has not been established.
23
36B
Quantity of Financial Instrument
O
Definition
This qualified generic field specifies:| MINO | Minimum Nominal Quantity | Minimum nominal quantity of financial instrument. |
| SIZE | Contract Size | Ratio or multiplying factor used to convert one contract into a financial instrument quantity. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | GETS | N | B | Minimum Nominal Quantity | |
| 2 | F | PAYE | N | B | Contract Size |
Codes
Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
24
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Financial Instrument Attributes
Sequenz B2 - Account Information [ obligatorisch, wiederholend ]
No.
Tag
Option
Name
Status
25
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Account Information
26
95a
P
Party: Account Owner
O
R
Definition
This qualified generic field specifies:| ACOW | Account Owner | Party that owns the account. |
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option P | :4!c//4!a2!a2!c[3!c] | (Qualifier)(Identifier Code) |
| Option R | :4!c/8c/34x | (Qualifier)(Data Source Scheme)(Proprietary Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | ACOW | N | P, R | Account Owner |
27
97a
A
Account: Safekeeping Account
M
C
Definition
This qualified generic field specifies:| SAFE | Safekeeping Account | Account where financial instruments are maintained. |
Format
| Option A | :4!c//35x | (Qualifier)(Account Number) |
| Option C | :4!c//4!c | (Qualifier)(Account Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | OVEP | N | A, C | Safekeeping Account |
Codes
In option C, Account Code must contain the following code:
Code
Bedeutung des Codes
General: Announcement applies to all safekeeping accounts that own underlying financial instrument. (Used for general or preliminary announcements).
28
94a
B
Place: Place of Safekeeping
O
C
F
Definition
This qualified generic field specifies:| SAFE | Place of Safekeeping | Location where the financial instruments are/will be safekept. |
Format
| Option B | :4!c/[8c]/4!c[/30x] | (Qualifier)(Data Source Scheme)(Place Code)(Narrative) |
| Option C | :4!c//2!a | (Qualifier)(Country Code) |
| Option F | :4!c//4!c/4!a2!a2!c[3!c] | (Qualifier)(Place Code)(Identifier Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | B, C, F | Place of Safekeeping |
Codes
In option B, if Data Source Scheme is not present, Place Code must contain one of the following codes:
Code
Bedeutung des Codes
All Places of Safekeeping: Used when there is a need to indicate that the details apply to all places of safekeeping where the financial instrument is held.
Shares Held Elsewhere: Used for certain financial instruments, for example, US mutual funds, where settlement is internal only, that is, there is no external movement of securities.
In option F, Place Code must contain one of the following codes:
Code
Bedeutung des Codes
Local Custodian: Financial instruments held at a local custodian.
International Central Securities Depository: Financial instruments held at an International Central Securities Depository.
National Central Securities Depository: Financial instruments held at a National Central Securities Depository.
Shares Held Elsewhere: Used for certain financial instruments, for example, US mutual funds, where settlement is internal only, that is, there is no external movement of securities.
29
93a
B
Balance
C
C
Definition
This qualified generic field specifies:| AFFB | Affected Balance | Balance that has been affected by the process run through the event. |
| BLOK | Blocked Balance | Balance of financial instruments that are blocked. |
| BORR | Borrowed Balance | Balance of financial instruments that have been borrowed from another party. |
| COLI | Collateral In Balance | Balance of securities that belong to a third party and that are held for the purpose of collateralisation. |
| COLO | Collateral Out Balance | Balance of securities that belong to the safekeeping account indicated within this message, and are deposited with a third party for the purpose of collateralisation. |
| ELIG | Total Eligible for Corporate Action Balance | Total balance of securities eligible for this corporate action event. The entitlement calculation is based on this balance. |
| INBA | Instructed Balance | Balance of instructed position. |
| LOAN | On Loan Balance | Balance of financial instruments that have been loaned to a third party. |
| NOMI | Registered Balance | Balance of financial instruments that are registered (in the name of a nominee name or of the beneficial owner). |
| OBAL | Obligated Balance | Position that account holders should return to the account servicer to participate in the event or to fulfil their obligation for the event to be complete, for example, return of securities for late announced drawing. |
| PEND | Pending Delivery Balance | Balance of financial instruments that are pending delivery. |
| PENR | Pending Receipt Balance | Balance of financial instruments that are pending receipt. |
| REGO | Out for Registration Balance | Balance of financial instruments currently being processed by the institution responsible for registering the new beneficial owner (or nominee). |
| SETT | Settlement Position Balance | Balance of securities representing only settled transactions; pending transactions not included. |
| SPOS | Street Position Balance | Balance of financial instruments that remain registered in the name of the prior beneficial owner. |
| TRAD | Trade Date Position Balance | Balance of securities based on trade date, for example, includes all pending transactions in addition to the balance of settled transactions. |
| TRAN | In Transshipment Balance | Balance of physical securities that are in the process of being transferred from one depository/agent to another. |
| UNAF | Unaffected Balance | Balance that has not been affected by the process run through the event. |
| UNBA | Uninstructed Balance | Balance of uninstructed position. |
Format
| Option B | :4!c/[8c]/4!c/[N]15d | (Qualifier)(Data Source Scheme)(Quantity Type Code)(Sign)(Balance) |
| Option C | :4!c//4!c/4!c/[N]15d | (Qualifier)(Quantity Type Code)(Balance Type Code)(Sign)(Balance) |
Qualifier (19)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COVA | W | C12 | B, C | Total Eligible for Corporate Action Balance |
| 2 | F | BAIN | N | B, C | Blocked Balance | |
| 3 | F | BIDI | N | B, C | Borrowed Balance | |
| 4 | F | CERT | N | B, C | Collateral In Balance | |
| 5 | F | CERT | N | B, C | Collateral Out Balance | |
| 6 | F | EXRQ | N | B, C | On Loan Balance | |
| 7 | F | LOTS | W | B, C | Pending Delivery Balance | |
| 8 | F | LOTS | W | B, C | Pending Receipt Balance | |
| 9 | F | NEWD | N | B, C | Out for Registration Balance | |
| 10 | F | PAIR | W | B, C | Settlement Position Balance | |
| 11 | F | PENF | N | B, C | Street Position Balance | |
| 12 | F | PTYB | N | B, C | Trade Date Position Balance | |
| 13 | F | PUTT | N | B, C | In Transshipment Balance | |
| 14 | F | INST | N | B, C | Registered Balance | |
| 15 | F | REFD | N | B, C | Uninstructed Balance | |
| 16 | F | ECDT | N | B, C | Instructed Balance | |
| 17 | F | ISDI | N | B, C | Obligated Balance | |
| 18 | F | ADVI | N | B, C | Affected Balance | |
| 19 | F | REDP | N | B, C | Unaffected Balance |
Codes
In option B, if Data Source Scheme is not present, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, if Qualifier is ELIG, Balance Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Full Period Units: Number of units of a fund that were purchased in a previous distribution period and/or held at the beginning of a distribution period, for example Group I Units in the UK.
Part Way Period Units: Number of units of a fund that were purchased part way throughout a distribution period, for example Group II Units in the UK.
In option C, if Qualifier is BLOK or Qualifier is BORR or Qualifier is COLI or Qualifier is COLO or Qualifier is LOAN or Qualifier is REGO or Qualifier is SPOS or Qualifier is TRAD or Qualifier is TRAN or Qualifier is NOMI or Qualifier is UNBA or Qualifier is INBA or Qualifier is OBAL or Qualifier is AFFB or Qualifier is UNAF, Balance Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Eligible: Balance of securities eligible for this corporate action event.
Not Eligible: Balance of securities not eligible for this corporate action event.
In option C, if Qualifier is PEND or Qualifier is PENR or Qualifier is SETT, Balance Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Eligible: Balance of securities eligible for this corporate action event.
Full Period Units: Number of units of a fund that were purchased in a previous distribution period and/or held at the beginning of a distribution period, for example Group I Units in the UK.
Not Eligible: Balance of securities not eligible for this corporate action event.
Part Way Period Units: Number of units of a fund that were purchased part way throughout a distribution period, for example Group II Units in the UK.
30
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Account Information
31
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Underlying Securities
Sequenz C - Intermediate Securities [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
32
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Intermediate Securities
33
35B
Identification of the Financial Instrument
M
Definition
This field identifies the financial instrument.Format
| Option B | [ISIN1!e12!c] [4*35x] | (Identification of Security) (Description of Security) |
34
36a
B
Quantity of Financial Instrument: Quantity of Intermediate Securities
O
E
Definition
This qualified generic field specifies:| QINT | Quantity of Intermediate Securities | Quantity of entitled intermediate securities based on the balance of underlying securities. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
| Option E | :4!c//4!c/[N]15d | (Qualifier)(Quantity Type Code)(Sign)(Quantity) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MRKT | N | C3 | B, E | Quantity of Intermediate Securities |
Codes
In option B or E, Quantity Type Code must contain the following code:
Code
Bedeutung des Codes
Unit Number: Quantity expressed as a number, for example, a number of shares.
35
93a
B
Balance
O
C
Definition
This qualified generic field specifies:| INBA | Instructed Balance | Balance of instructed position. |
| UNBA | Uninstructed Balance | Balance of uninstructed position. |
Format
| Option B | :4!c/[8c]/4!c/[N]15d | (Qualifier)(Data Source Scheme)(Quantity Type Code)(Sign)(Balance) |
| Option C | :4!c//4!c/4!c/[N]15d | (Qualifier)(Quantity Type Code)(Balance Type Code)(Sign)(Balance) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | REFD | N | B, C | Uninstructed Balance | |
| 2 | F | ECDT | N | B, C | Instructed Balance |
Codes
In option B, if Data Source Scheme is not present, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, Balance Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Eligible: Balance of securities eligible for this corporate action event.
Not Eligible: Balance of securities not eligible for this corporate action event.
36
22F
Indicator
O
Definition
This qualified generic field specifies:| DISF | Disposition of Fractions Indicator | Specifies how fractions resulting from derived securities will be processed or how prorated decisions will be rounding, if provided with a pro ration rate. |
| SELL | Renounceable Status of Entitlement Indicator | Specifies whether terms of the event allow resale of the rights. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COMM | N | F | Disposition of Fractions Indicator | |
| 2 | F | PACK | N | F | Renounceable Status of Entitlement Indicator |
Codes
If Qualifier is DISF and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Distributed: Take distribution of fractions in the form of securities.
Round Down: Round the entitlement down to the last full unit/minimum nominal quantity, fractions are discarded.
Round Up: Round up to next full unit/minimum nominal quantity at no cost.
Standard: If the fraction is greater than or equal to 0.5 of the resulting security then round up, else round down as specified in the respective RDUP and RDDN codes.
Unknown: Characteristics of the disposition of fractions are unknown.
If Qualifier is SELL and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Non Renounceable: Intermediate securities cannot be traded.
Renounceable: Intermediate securities can be traded.
37
92D
Rate: Intermediate Securities to Underlying
O
Definition
This qualified generic field specifies:| RTUN | Intermediate Securities to Underlying | Quantity of intermediate securities awarded for a given quantity of underlying security. |
Format
| Option D | :4!c//15d/15d | (Qualifier)(Quantity)(Quantity) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OTHR | N | D | Intermediate Securities to Underlying |
38
90B
Price: Market Price
O
Definition
This qualified generic field specifies:| MRKT | Market Price | Last reported/known price of a financial instrument in a market. |
Format
| Option B | :4!c//4!c/3!a15d | (Qualifier)(Amount Type Code)(Currency Code)(Price) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | INBR | N | B | Market Price |
Codes
Amount Type Code must contain the following code:
Code
Bedeutung des Codes
Actual Amount: Price expressed as an amount of currency per unit or per share.
39
98a
A
Date/Time
M
B
Definition
This qualified generic field specifies:| EXPI | Expiry Date | Date on which an order expires or on which a privilege or offer terminates. |
| POST | Posting Date | Date of the posting (credit or debit) to the account. |
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
| Option B | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Date Code) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | DEAL | N | A, B | Expiry Date | |
| 2 | O | MARG | N | A, B | Posting Date |
Codes
In option B, if Data Source Scheme is not present, Date Code must contain one of the following codes:
Code
Bedeutung des Codes
Ongoing Basis: Date is determined by "on going basis" process, for example "au fil de l'eau".
Unknown Date: Date is unknown by the sender or has not been established.
40
69a
A
Period: Trading Period
O
B
C
D
E
F
Definition
This qualified generic field specifies:| TRDP | Trading Period | Period during which intermediate or outturn securities are tradable in a secondary market. |
Format
| Option A | :4!c//8!n/8!n | (Qualifier)(Date)(Date) |
| Option B | :4!c//8!n6!n/8!n6!n | (Qualifier)(Date)(Time)(Date)(Time) |
| Option C | :4!c//8!n/4!c | (Qualifier)(Date)(Date Code) |
| Option D | :4!c//8!n6!n/4!c | (Qualifier)(Date)(Time)(Date Code) |
| Option E | :4!c//4!c/8!n | (Qualifier)(Date Code)(Date) |
| Option F | :4!c//4!c/8!n6!n | (Qualifier)(Date Code)(Date)(Time) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | QREG | N | A, B, C, D, E, F | Trading Period |
41
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Intermediate Securities
Sequenz D - Corporate Action Details [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
42
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Corporate Action Details
43
98a
A
Date/Time
O
B
C
E
Definition
This qualified generic field specifies:| ANOU | Announcement Date/Time | Date/time at which the issuer announced that a corporate action event will occur. |
| CERT | Certification Deadline Date/Time | Deadline by which the beneficial ownership of securities must be declared. |
| COAP | Court Approval Date/Time | Date/time upon which the Court provided approval. |
| ECDT | Early Closing Date/Time | First possible early closing date of an offer if different from the expiry date. |
| ECPD | Election to Counterparty Market Deadline | Deadline by which an entitled holder needs to advise their counterparty to a transaction of their election for a corporate action event, also known as Buyer Protection Deadline. |
| ECRD | Election to Counterparty Response Deadline | Date/time the account servicer has set as the deadline to respond, with instructions, prior to the election to counterparty market deadline. |
| EFFD | Effective Date/Time | Date/time at which an event is officially effective from the issuer's perspective. |
| EQUL | Equalization Date/Time | Date/time at which all or part of any holding bought in a unit trust is subject to being treated as capital rather than income. This is normally one day after the previous distribution's ex date. |
| ETPD | Early Third Party Deadline | Date/Time set by the issuer agent as a first early deadline by which the account owner must instruct directly another party, possibly giving the holder eligibility to incentives. For example, to provide documentation to an issuer agent. |
| FDAT | Further Detailed Announcement Date/Time | Date/time at which additional information on the event will be announced, for example, exchange ratio announcement date. |
| FILL | Filing Date | Date on which the action was filed at the applicable court. |
| GUPA | Guaranteed Participation Date/Time | Last date/time by which a buying counterparty to a trade can be sure that it will have the right to participate in an event. |
| HEAR | Hearing Date | Date for the hearing between the plaintiff and defendant, as set by the court. |
| IFIX | Fixing Date/Time | Date/time at which an index/rate/price/value will be determined. |
| LAPD | Lapsed Date/Time | Date/time at which an event/offer is terminated or lapsed. |
| LOTO | Lottery Date/Time | Date/time at which the lottery is run and applied to the holder's positions. This is also applicable to partial calls. |
| MATU | New Maturity Date/Time | Date/time to which the maturity date of an interest bearing security is extended. |
| MCTD | Market Claim Tracking End Date | Date by which the depository stops monitoring activities of the event, for instance, accounting and tracking activities for due bills end. |
| MEET | Meeting Date/Time | Date/time at which the bondholders' or shareholders' meeting will take place. |
| MET2 | Second Meeting Date/Time | Date/time at which the company's general meeting is scheduled, 2nd session if applicable (for example, Italy). |
| MET3 | Third Meeting Date/Time | Date/time at which the company's general meeting is scheduled, 3rd session if applicable (for example, Italy). |
| MFIX | Margin Fixing Date/Time | Date/time at which the margin rate will be determined. |
| OAPD | Official Announcement/Publication Date | Date/time at which the corporate action is legally announced by an official body, for example, publication by a governmental administration. |
| PAYD | Payment Date/Time | Date/time at which the movement is due to take place (cash and/or securities). |
| PLDT | Lead Plaintiff Deadline | Last day an investor can become a lead plaintiff. |
| PROD | Proration Date/Time | Date/time at which the issuer will determine a proration amount/quantity of an offer. |
| RDTE | Record Date/Time | Date/time at which positions are struck at the end of the day to note which parties will receive the relevant amount of entitlement, due to be distributed on payment date. |
| REGI | Deadline to Register | Date/time at which instructions to register or registration details will be accepted. |
| RESU | Results Publication Date/Time | Date/time at which results are published, for example, results of an offer. |
| SPLT | Deadline to Split | Deadline by which instructions must be received to split securities, for example, of physical certificates. |
| SXDT | Special Ex-Date/Time | Date/time as from which 'special processing' can start to be used by participants for that event. Special processing is a means of marking a transaction, that would normally be traded ex or cum, as being traded cum or ex respectively, for example, a transaction dealt 'special' after the ex date would result in the buyer being eligible for the entitlement. This is typically used in the UK and Irish markets. |
| TAXB | Deadline for Tax Breakdown Instructions | Date/time until which tax breakdown instructions will be accepted. |
| TPDT | Third Party Deadline | Date/Time by which the account owner must instruct directly another party, for example to provide documentation to an issuer agent. |
| TSDT | Trading Suspended Date/Time | Date/time at which trading of a security is suspended as the result of an event. |
| UNCO | Unconditional Date/Time | Date/time upon which the terms of the take-over become unconditional as to acceptances. |
| WUCO | Wholly Unconditional Date/Time | Date/time at which all conditions, including regulatory, legal etc. pertaining to the take-over, have been met. |
| XDTE | Ex-Dividend or Distribution Date/Time | Date/time as from which trading (including exchange and OTC trading) occurs on the underlying security without the benefit. |
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
| Option B | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Date Code) |
| Option C | :4!c//8!n6!n | (Qualifier)(Date)(Time) |
| Option E | :4!c//8!n6!n[,3n][/[N]2!n[2!n]] | (Qualifier)(Date)(Time)(Decimals)(UTC Indicator) |
Qualifier (37)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | AGRE | N | A, B, C | Announcement Date/Time | |
| 2 | F | CAEV | N | A, B, C | Certification Deadline Date/Time | |
| 3 | F | REPO | N | A, B, C | Ex-Dividend or Distribution Date/Time | |
| 4 | F | COUP | N | A, B, C | Effective Date/Time | |
| 5 | F | DECL | N | A, B, C | Further Detailed Announcement Date/Time | |
| 6 | F | MFDV | N | A, B, C | Proration Date/Time | |
| 7 | F | NEWA | N | A, B, C | Deadline to Register | |
| 8 | F | OCMT | N | A, B, C | Results Publication Date/Time | |
| 9 | F | PEND | N | A, B, C | Deadline to Split | |
| 10 | F | FXCX | N | A, B, C, E | Proration Date/Time | |
| 11 | F | NAVR | N | A, B, C | Record Date/Time | |
| 12 | F | PREV | N | A, B, C | Deadline for Tax Breakdown Instructions | |
| 13 | F | RATE | N | A, B, C | Trading Suspended Date/Time | |
| 14 | F | FIOP | N | A, B, C | Lottery Date/Time | |
| 15 | F | REGF | N | A, B, C | Unconditional Date/Time | |
| 16 | F | REPL | N | A, B, C | Wholly Unconditional Date/Time | |
| 17 | F | FXIN | N | A, B, C, E | Second Meeting Date/Time | |
| 18 | F | FXIS | N | A, B, C, E | Third Meeting Date/Time | |
| 19 | F | CPTB | N | A, B, C | Equalization Date/Time | |
| 20 | F | CORP | N | A, B, C | Early Closing Date/Time | |
| 21 | F | EARL | N | A, B, C | Fixing Date/Time | |
| 22 | F | FXTR | N | A, B, C | Margin Fixing Date/Time | |
| 23 | F | CCMV | N | A, B, C | Court Approval Date/Time | |
| 24 | F | FSBN | N | A, B, C | New Maturity Date/Time | |
| 25 | F | ISAG | N | A, B, C | Official Announcement/Publication Date | |
| 26 | F | PREC | N | A, B, C | Special Ex-Date/Time | |
| 27 | F | DSWA | N | A, B, C | Guaranteed Participation Date/Time | |
| 28 | F | COUN | N | A, B, C | Election to Counterparty Market Deadline | |
| 29 | F | EXBN | N | A, B, C | Lapsed Date/Time | |
| 30 | F | FXCR | N | A, B, C, E | Market Claim Tracking End Date | |
| 31 | F | LODE | N | C16 | A, B, C | Payment Date/Time |
| 32 | F | PSAG | N | A, B, C | Third Party Deadline | |
| 33 | F | CUFC | N | A, B, C | Early Third Party Deadline | |
| 34 | F | MACO | N | A, B, C, E | Lead Plaintiff Deadline | |
| 35 | F | DEI2 | N | A, B | Filing Date | |
| 36 | F | DSWN | N | A, B | Hearing Date | |
| 37 | F | COUN | N | A, B, C | Election to Counterparty Response Deadline |
Codes
In option B, if Data Source Scheme is not present, Date Code must contain one of the following codes:
Code
Bedeutung des Codes
Ongoing Basis: Date is determined by "on going basis" process, for example "au fil de l'eau".
Unknown Date: Date is unknown by the sender or has not been established.
44
69a
A
Period
O
B
C
D
E
F
J
Definition
This qualified generic field specifies:| BLOK | Blocking Period | Period during which the security is blocked. |
| BOCL | Book Closure Period | Period defining the last date on which shareholder registration will be accepted by the issuer and the date on which shareholder registration will resume. |
| CLCP | Claim Period | Period assigned by the court in a class action. It determines the client's eligible transactions that will be included in the class action and used to determine the resulting entitlement. |
| CODS | Co-Depositories Suspension Period | Period during which the settlement activities at the co-depositories are suspended in order to stabilise the holdings at the CSD. |
| CSPD | Compulsory Purchase Period | Period during a take-over where any outstanding equity must be purchased by the take-over company. |
| DSBT | Depository Suspension Period for Book Entry Transfer | Period defining the last date for which book entry transfers will be accepted and the date on which the suspension will be released and book entry transfer processing will resume. |
| DSDA | Depository Suspension Period for Deposit at Agent | Period defining the last date for which deposits, into nominee name, at the agent will be accepted and the date on which the suspension will be released and deposits at agent will resume. |
| DSDE | Depository Suspension Period for Deposit | Period defining the last date for which deposits will be accepted and the date on which the suspension will be released and deposits will resume. |
| DSPL | Depository Suspension Period for Pledge | Period defining the last date for which pledges will be accepted and the date on which the suspension will be released and pledge processing will resume. |
| DSSE | Depository Suspension Period for Segregation | Period defining the last date for which intra-position balances can be segregated and the date on which the suspension will be released and the ability to segregate intra-position balances will resume. |
| DSWA | Depository Suspension Period for Withdrawal at Agent | Period defining the last date for which withdrawals, from nominee name at the agent will be accepted and the date on which the suspension will be released and withdrawals at agent processing will resume. |
| DSWN | Depository Suspension Period for Withdrawal in Nominee Name | Period defining the last date for which physical withdrawals in the nominee's name will be accepted and the date on which the suspension will be released and physical withdrawals in the nominee's name will resume. |
| DSWS | Depository Suspension Period for Withdrawal in Street Name | Period defining the last date on which withdrawal requests in street name's will be accepted on the event security and the date on which the suspension will be released and withdrawal in street name's processing on the event security will resume. |
| INPE | Interest Period | Period during which the interest rate has been applied. |
| PRIC | Price Calculation Period | Period during which the price of a security is determined. |
| SPLP | Split Period | Period during which a physical certificate can be split. |
Format
| Option A | :4!c//8!n/8!n | (Qualifier)(Date)(Date) |
| Option B | :4!c//8!n6!n/8!n6!n | (Qualifier)(Date)(Time)(Date)(Time) |
| Option C | :4!c//8!n/4!c | (Qualifier)(Date)(Date Code) |
| Option D | :4!c//8!n6!n/4!c | (Qualifier)(Date)(Time)(Date Code) |
| Option E | :4!c//4!c/8!n | (Qualifier)(Date Code)(Date) |
| Option F | :4!c//4!c/8!n6!n | (Qualifier)(Date Code)(Date)(Time) |
| Option J | :4!c//4!c | (Qualifier)(Date Code) |
Qualifier (16)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MEOR | N | A, B, C, D, E, F, J | Price Calculation Period | |
| 2 | F | EQUL | N | A, B, C, D, E, F, J | Interest Period | |
| 3 | F | COAF | N | A, B, C, D, E, F, J | Compulsory Purchase Period | |
| 4 | F | BAIN | N | A, B, C, D, E, F, J | Blocking Period | |
| 5 | F | CASH | N | A, B, C, D, E, F, J | Claim Period | |
| 6 | F | CONV | N | A, B, C, D, E, F, J | Depository Suspension Period for Withdrawal in Nominee Name | |
| 7 | F | CONT | N | A, B, C, D, E, F, J | Depository Suspension Period for Deposit | |
| 8 | F | CONP | N | A, B, C, D, E, F, J | Depository Suspension Period for Book Entry Transfer | |
| 9 | F | CONS | N | A, B, C, D, E, F, J | Depository Suspension Period for Deposit at Agent | |
| 10 | F | CONU | N | A, B, C, D, E, F, J | Depository Suspension Period for Withdrawal at Agent | |
| 11 | F | CONT | N | A, B, C, D, E, F, J | Depository Suspension Period for Pledge | |
| 12 | F | CONT | N | A, B, C, D, E, F, J | Depository Suspension Period for Segregation | |
| 13 | F | CONV | N | A, B, C, D, E, F, J | Depository Suspension Period for Withdrawal in Street Name | |
| 14 | F | BAST | N | A, B, C, D, E, F, J | Book Closure Period | |
| 15 | F | CEFI | N | A, B, C, D, E, F, J | Co-Depositories Suspension Period | |
| 16 | F | PEND | N | A, B, C, D, E, F, J | Split Period |
45
99A
Number Count: Number of Days Accrued
O
Definition
This qualified generic field specifies:| DAAC | Number of Days Accrued | Number of days used for calculating the accrued interest amount. |
Format
| Option A | :4!c//[N]3!n | (Qualifier)(Sign)(Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COAX | N | A | Number of Days Accrued |
46
92a
A
Rate
O
F
K
P
Definition
This qualified generic field specifies:| BIDI | Bid Interval Rate | Acceptable price increment used for submitting a bid. |
| DEVI | Declared Rate | Dividend or interest rate declared by the issuer. |
| INTR | Interest Rate | Annual rate of a financial instrument. |
| NWFC | Next Factor | Factor used to calculate the value of the outstanding principal of the financial instrument (for factored securities) that will be applicable after the redemption (factor) date. |
| PRFC | Previous Factor | Factor used to calculate the value of the outstanding principal of the financial instrument (for factored securities) until the next redemption (factor) date. |
| PTSC | Percentage Sought | Percentage of securities the offeror/issuer will purchase or redeem under the terms of the event. |
| RDIS | Reinvestment Discount Rate to Market | Rate of discount for securities purchased through a reinvestment scheme as compared to the current market price of security. |
| RINR | Related Index Rate | Index rate related to the interest rate of the forthcoming interest payment. |
| RLOS | Realised Loss | For structured security issues where there is a set schedule of principal and interest payments for the life of the issue, this is the difference between the actual rate of the capital or principal repayment and the scheduled capital repayment. |
| RSPR | Spread Rate | Margin allowed over or under a given rate. |
| SHRT | Interest Shortfall | For structured security issues where there is a set schedule of principal and interest payments for the life of the issue, this is the difference between the actual rate of the interest payment and the expected or scheduled rate of the interest payment. |
Format
| Option A | :4!c//[N]15d | (Qualifier)(Sign)(Rate) |
| Option F | :4!c//3!a15d | (Qualifier)(Currency Code)(Amount) |
| Option K | :4!c//4!c | (Qualifier)(Rate Type Code) |
| Option P | :4!c//15d | (Qualifier)(Index Points) |
Qualifier (11)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | NAVL | N | A, K | Reinvestment Discount Rate to Market | |
| 2 | F | ESTT | N | A, F, K | Interest Rate | |
| 3 | F | AVAI | N | A, F, K, P | Bid Interval Rate | |
| 4 | F | INVE | N | A, K | Next Factor | |
| 5 | F | MKTB | N | A, K | Percentage Sought | |
| 6 | F | MEET | N | A, K | Previous Factor | |
| 7 | F | OFFO | N | A, K | Related Index Rate | |
| 8 | F | ORDR | N | A, K | Spread Rate | |
| 9 | F | PAYD | N | A, F | Interest Shortfall | |
| 10 | F | OFFR | N | A, F | Realised Loss | |
| 11 | F | COLL | N | C18 | A, F | Declared Rate |
Codes
In option K, if Qualifier is RDIS or Qualifier is INTR or Qualifier is BIDI or Qualifier is NWFC or Qualifier is PRFC or Qualifier is RINR or Qualifier is RSPR, Rate Type Code must contain the following code:
Code
Bedeutung des Codes
Unknown Rate: Rate is unknown by the sender or has not been established.
In option K, if Qualifier is PTSC, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Any and All
Unknown Rate: Rate is unknown by the sender or has not been established.
47
90a
A
Price
O
B
E
L
Definition
This qualified generic field specifies:| MAXP | Maximum Price | Maximum or cap price at which a holder can bid, for example on a Dutch auction offer. |
| MINP | Minimum Price | Minimum or floor price at which a holder can bid, for example on a Dutch auction offer. |
Format
| Option A | :4!c//4!c/[N]15d | (Qualifier)(Percentage Type Code)(Sign)(Price) |
| Option B | :4!c//4!c/3!a15d | (Qualifier)(Amount Type Code)(Currency Code)(Price) |
| Option E | :4!c//4!c | (Qualifier)(Price Code) |
| Option L | :4!c//[N]15d | (Qualifier)(Sign)(Index Points) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | FXCO | N | A, B, E, L | Maximum Price | |
| 2 | F | GIUP | N | A, B, E, L | Minimum Price |
Codes
In option A, Percentage Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Discount: Price expressed as the number of percentage points below par, for example, a discount price of 2.0% equals a price of 98 when par is 100.
Percentage: Price expressed as a percentage of par.
Premium: Price expressed as the number of percentage points above par, for example, a premium price of 2.0% equals a price of 102 when par is 100.
Yield: Price expressed as a yield.
In option B, Amount Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Actual Amount: Price expressed as an amount of currency per unit or per share.
Discount: Price expressed as a discount amount.
Lot: Price expressed as an amount of money per lot.
Premium: Price expressed as a premium.
In option E, Price Code must contain the following code:
Code
Bedeutung des Codes
Unknown Price: Price is unknown by the sender or has not been established.
48
36a
B
Quantity of Financial Instrument
O
C
Definition
This qualified generic field specifies:| BASE | Base Denomination | The minimum integral amount of securities that each account owner must have remaining after the called amounts are applied. |
| INCR | Incremental Denomination | Amount used when the called amount is not met by running the lottery with the base denomination. |
| MQSO | Maximum Quantity of Securities | The maximum number of securities the offeror/issuer is ready to purchase or redeem. This can be a number or the term "any and all". |
| NBLT | New Board Lot Quantity | Quantity of equity that makes up the new board lot. |
| NEWD | New Denomination Quantity | New Denomination of the equity following, for example, an increase or decrease in nominal value. |
| QTSO | Minimum Quantity Sought | The minimum quantity of securities the offeror/issuer is ready to purchase or redeem under the terms of the event. This can be a number or the term "any and all". |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
| Option C | :4!c//4!c | (Qualifier)(Quantity Code) |
Qualifier (6)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | INBA | N | B, C | Maximum Quantity of Securities | |
| 2 | F | MTCH | N | B, C | Minimum Quantity Sought | |
| 3 | F | INDX | N | B, C | New Board Lot Quantity | |
| 4 | F | INOU | N | B, C | New Denomination Quantity | |
| 5 | F | ARRE | N | B, C | Base Denomination | |
| 6 | F | EFFD | N | B, C | Incremental Denomination |
Codes
In option B, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, if Qualifier is MQSO or Qualifier is QTSO, Quantity Code must contain one of the following codes:
Code
Bedeutung des Codes
Any and All
Unknown Quantity: Quantity is unknown by the sender or has not been established.
In option C, if Qualifier is NBLT or Qualifier is NEWD or Qualifier is BASE or Qualifier is INCR, Quantity Code must contain the following code:
Code
Bedeutung des Codes
Unknown Quantity: Quantity is unknown by the sender or has not been established.
49
13a
A
Number Identification: Coupon Number
O
B
Definition
This qualified generic field specifies:| COUP | Coupon Number | Number of the coupon attached/associated with a security. |
Format
| Option A | :4!c//3!c | (Qualifier)(Number Id) |
| Option B | :4!c/[8c]/30x | (Qualifier)(Data Source Scheme)(Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | CLBR | W | A, B | Coupon Number |
50
17B
Flag
O
Definition
This qualified generic field specifies:| ACIN | Accrued Interest Indicator | Indicates whether the holder is entitled to accrued interest. |
| CERT | Certification/Breakdown Flag | Indicates whether certification/breakdown is required. |
| COMP | Information to be Complied With | Indicates whether restrictions apply to the event. |
| LEOG | Letter of Guaranteed Delivery Flag | Indicates whether a letter of guaranteed delivery can be submitted in order to participate in the offer on full eligible position. It is not intended for use in situations arising from failed or late trades. |
| RCHG | Charges Flag | Indicates whether charges apply to the holder, for instance redemption charges. |
Format
| Option B | :4!c//1!a | (Qualifier)(Flag) |
51
22F
Indicator
O
Definition
This qualified generic field specifies:| ADDB | Additional Business Process Indicator | Specifies the additional business process linked to a corporate action event such as a claim compensation or tax refund. |
| CEFI | Certification Format Indicator | Specifies the certification format required, that is, physical or electronic format. |
| CHAN | Change Type Indicator | Specifies the type of change announced. |
| CONS | Consent Type Indicator | Specifies the type of consent announced. |
| CONV | Conversion Type Indicator | Specifies the conversion type of an instrument. |
| DITY | Occurrence Type Indicator | Specifies the conditions in which the instructions and/or payment of the proceeds occurs. |
| DIVI | Dividend Type Indicator | Specifies the conditions in which a dividend is paid. |
| ECIO | Capital Gain In/Out Indicator | Specifies whether the capital gain is in the scope of the EU Savings directive for the income realised upon the sale, refund or redemption of shares and units ( ...) (Article 6(1d)). |
| ELCT | Election Type Indicator | Specifies the effect on the holdings of electing a Corporate Action option. |
| ESTA | Corporate Action Event Stage | Stage in the corporate action event life cycle. |
| INFO | Information Type Indicator | Specifies the type of information event. |
| LOTO | Lottery Type | Specifies the type of lottery announced. |
| OFFE | Offer Type Indicator | Specifies the conditions that apply to the offer. |
| RHDI | Intermediate Securities Distribution Type Indicator | Intermediates securities distribution type. |
| SELL | Renounceable Status of Entitlement Indicator | Specifies whether terms of the event allow resale of the rights. |
| TDTA | TID/TIS Calculated Indicator | Specifies whether the fund calculates the taxable income per dividend/taxable income per share. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier (16)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COMP | N | F | Dividend Type Indicator | |
| 2 | F | CINL | N | F | Conversion Type Indicator | |
| 3 | F | COMM | N | F | Occurrence Type Indicator | |
| 4 | F | ISSU | W | F | Offer Type Indicator | |
| 5 | F | PACK | N | F | Renounceable Status of Entitlement Indicator | |
| 6 | F | CRTR | W | F | Corporate Action Event Stage | |
| 7 | F | ACRU | W | C14, C15, C17 | F | Additional Business Process Indicator |
| 8 | F | CANC | W | C10 | F | Change Type Indicator |
| 9 | F | OFFE | N | C11 | F | Intermediate Securities Distribution Type Indicator |
| 10 | F | COST | N | F | Capital Gain In/Out Indicator | |
| 11 | F | PRIC | N | F | TID/TIS Calculated Indicator | |
| 12 | F | COUP | N | F | Election Type Indicator | |
| 13 | F | FIOP | N | F | Lottery Type | |
| 14 | F | CAEP | N | F | Certification Format Indicator | |
| 15 | F | CHAR | N | F | Consent Type Indicator | |
| 16 | F | ENTF | N | F | Information Type Indicator |
Codes
If Qualifier is DIVI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Final: Payment of a dividend, less the amounts already paid through interim dividends.
Interim: Dividend declared and paid before annual earnings have been determined.
Regular: Dividend paid at regular interval, for example, quarterly.
Reinvestment: Reinvestment of Cash distributed.
Special: Dividend in addition to the regular dividend being paid by the company.
Special Dividend with Reinvestment: Special dividend with reinvestment component.
If Qualifier is CONV and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Final: This is a final conversion.
Interim: This is an interim conversion.
If Qualifier is DITY and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Final: This is a final payment.
Interim: This is an interim payment.
Ongoing: The event is ongoing for acceptance on an unsolicited basis.
Rolling: Event will have a number of acceptance and payment dates until further announcement by the Issuer or its agent.
If Qualifier is OFFE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Dissenter's Rights: Securities' holder has the right to disagree with a mandatory event. This right is not inherent in all offers and therefore must be noted in announcements only when applicable.
Restriction Exchange: Exchange of Restricted to Unrestricted (or vice versa).
First Come First Served: Securities will be accepted in the order they have been submitted until the target number of quantity sought is reached.
Final Offer: Final or last offer to holders subject to offer conditions being reached, for example, 50% accepted on a tender.
Partial Offer: Partial offer.
Squeeze Out Bid: Offer launched by a company, in possession of a large number of the shares (90% - 95%) of a company (generally as a result of a tender offer), in order to acquire the remaining shares of that company.
If Qualifier is SELL and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Non Renounceable: Intermediate securities cannot be sold.
Renounceable: Intermediate securities can be sold.
If Qualifier is ESTA and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Approved: Approved at the relevant meeting or through consent or according to the terms of the CA event, for example, dividend.
Closed/Deactivated: The offer is closed for acceptance.
Cancellation and Re-Run: Cancellation and re-run of an original lottery or an original and supplemental lottery. A subsequent lottery will be performed under a new event.
Lapsed: The event/offer conditions have not been met and the event/offer is terminated or lapsed.
Supplemental Cancellation and Re-Run: Cancellation and re-run of a supplemental lottery only. A subsequent new supplemental lottery will be performed under the original event.
Period of Action: Open for acceptance until the next specified deadline in the announcement (if any).
Supplemental Cancellation: A supplemental lottery is being cancelled by the issuer. No subsequent lottery will be performed.
Subject to Approval: Subject to approval at the relevant meeting or through consent or according to the terms of the CA event, for example, dividend.
Unconditional as to Acceptance: The required level of acceptances specified in the terms of the offer has been achieved but there are still outstanding conditions to fulfil.
Wholly Unconditional: Wholly unconditional; all conditions specified in the offer document have been satisfied.
If Qualifier is ADDB and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Automatic Market Claims: Will automatically give rise to market claims by the account servicer (typically, a CSD).
Subject to Transformation: As a result of the Corporate Action, all transactions in the underlying security will be cancelled by the system and replaced with transactions in the outturn resource(s).
Preliminary Advice of Payment: The message is a preliminary advice of payment.
Claim or Compensation: Relates to a claim on the associated corporate action event.
Cancel Underlying Trades: As a result of the Corporate Action, all transactions in the underlying security will be cancelled by the system.
Consent: Relates to a consent within a corporate action event other than a Consent event (:22F::CAEV//CONS).
Full Pre-Funding: Full pre-funding of a debt instrument by the issuer prior to original maturity when the issuer deposits assets in trust. Applicable only in the frame of a partial defeasance corporate action event.
No Automatic Market Claims and Transformations: The event will not automatically give rise to market claims and transformations by the account servicer (typically, a CSD).
No Split Election: The issuer only allows a single option to be selected per designated holding.
Partial Pre-Funding: Partial pre-funding of a debt instrument prior to maturity drawn through a lottery process. One new security is issued with an earlier maturity date for the refunded (called portion) and the other new security is issued with the original maturity date for the non refunded (remaining) portion. Applicable only in the frame of a partial defeasance corporate action event.
Required Action: Proceeds/entitlements of the mandatory event can only be paid if specified action is taken by the account owner.
Reversal: Notification of a reversal.
Scheme/Plan of Arrangement: Component event of a scheme/plan of arrangement: a reorganisation of a company or a group of companies, and their capital.
Tax Refund: Relates to a tax refund from the authorities on the associated corporate action event.
If Qualifier is CHAN and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Bearer to Registered: Change from bearer into registered form.
Certificates: Change of all instruments into certificates.
Decimalisation: Process of changing the accounting method of a security, for example, mutual fund, from units to a quantity with decimals.
Dematerialised to Physical: Change from dematerialised into physical form.
Global Permanent to Physical: Change from global permanent to physical form.
Global Temporary to Global Permanent: Change from global temporary to global permanent form.
Global Temporary to Physical: Change from global temporary to physical form.
Name: Change of the issuing company's name. Event shows the change from old name to new name and may involve surrendering physical shares with the old name to the registrar.
Physical to Dematerialised: Change from physical into dematerialised form.
Registered to Bearer: Change from registered into bearer form.
Terms: Change in the terms of the security.
If Qualifier is RHDI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Reverse Rights: Distribution of reverser rights.
Bonus Rights: Distribution of bonus rights.
Dividend Reinvestment Securities: Distribution of dividend reinvestment securities.
Cash Dividend: Distribution of cash to shareholders, in proportion to their equity holding. Ordinary dividends are recurring and regular. Shareholder must take cash and may be offered a choice of currency.
Dividend Option: Distribution of dividend option.
Scrip Dividend/Payment: Dividend or interest paid in the form of scrip.
Stock Dividend: Dividend paid to shareholders in the form of shares of stock.
Exchange: Exchange of holdings for other securities and/or cash. The exchange can be either mandatory or voluntary involving the exchange of outstanding securities for different securities and/or cash. For example "exchange offer", "capital reorganisation" or "funds separation".
Subscription Rights: Distribution of subscription rights.
Interest Payment: Interest payment distributed to holders of an interest bearing asset.
Liquidation Dividend/Liquidation Payment: A distribution of cash, assets or both.
Merger: Exchange of outstanding securities, initiated by the issuer which may include options, as the result of two or more companies combining assets, that is, an external, third party company. Cash payments may accompany share exchange.
Open Offer Rights: Distribution of open offer rights.
Spin-Off: A distribution of securities issued by another company. The distributed securities may either be of a newly created or of an existing company. For example, spin-off, demerger, unbundling, divestment.
Stock Split/Change in Nominal Value/Subdivision: Increase in a corporation's number of outstanding equities without any change in the shareholder's equity or the aggregate market value at the time of the split. Equity price and nominal value are reduced accordingly.
If Qualifier is ECIO and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
In Scope: Capital gain is in the scope of the directive.
Not In Scope: Capital gain is out of the scope of the directive.
Unknown: Unknown whether capital gain is in or out of the scope of the directive.
If Qualifier is TDTA and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Not Calculated: The fund is NOT calculating the taxable income per dividend/taxable income per share.
Calculated: The fund is calculating the taxable income per dividend/taxable income per share.
Unknown: Unknown whether the fund is calculating the taxable income per dividend/taxable income per share.
If Qualifier is ELCT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Sequestered Election: Election results in a change of balance type that transfers control of the securities rather than the securities themselves.
Direct Election: Direct movement of resource, that is, cash or security that is directly credited to the paying agent account.
If Qualifier is LOTO and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Original Lottery Notification: Original lottery that has been announced for a specific amount and date.
Supplemental Lottery Notification: Supplemental or additional quantity called on a previously announced original lottery.
If Qualifier is CEFI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Electronic Format: Certification must be provided in electronic format.
Physical Format: Certification must be provided in physical format.
If Qualifier is CONS and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Change in Terms: This is a change in the terms and conditions of the bond.
Due and Payable: This is a change in the due and payable conditions.
If Qualifier is INFO and Data Source Scheme is not present, Indicator must contain the following code:
Code
Bedeutung des Codes
Conference Call: The information is about an informal call when an issuer, trustee, agent wishes to talk to note holders to discuss a certain issue or potential change to the notes; nothing said being binding.
52
94E
Place
O
Definition
This qualified generic field specifies:| MEET | Meeting Place | Place of the company's meeting for the scheduled meeting date. |
| MET2 | Meeting Place 2 | Place of the company's meeting for the scheduled second meeting date. |
| MET3 | Meeting Place 3 | Place of the company's meeting for the scheduled third meeting date. |
| NPLI | New Place of Incorporation | New company's place of incorporation. |
Format
| Option E | :4!c//10*35x | (Qualifier)(Address) |
53
70a
E
Narrative
O
G
Definition
This qualified generic field specifies:| NAME | Name | Provides the new name of a company following a name change. |
| OFFO | Offeror | Provides the entity making the offer and is different from the issuing company. |
| WEBB | Web Site Address | Provides the web address published for the event, that is the address for the Universal Resource Locator (URL), for example, used over the www (HTTP) service. |
Format
| Option E | :4!c//10*35x | (Qualifier)(Narrative) |
| Option G | :4!c//10*35z | (Qualifier)(Narrative) |
54
16S
End of Block
M
Definition
This field specifies the end of a block and the name of that block.Format
| Option S | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Corporate Action Details
Sequenz E - Corporate Action Options [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
55
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Corporate Action Options
56
13A
Number Identification: CA Option Number
M
Definition
This qualified generic field specifies:| CAON | CA Option Number | Number identifying the available corporate action options. |
Format
| Option A | :4!c//3!c | (Qualifier)(Number Id) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | BOTB | N | A | CA Option Number |
57
22F
Indicator
M
Definition
This qualified generic field specifies:| CAOP | Corporate Action Option Code Indicator | Specifies the corporate action options available to the account owner. |
| CETI | Certification/Breakdown Type Indicator | Specifies the type of certification/breakdown. |
| DISF | Disposition of Fractions Indicator | Specifies how fractions resulting from derived securities will be processed or how prorated decisions will be rounding, if provided with a pro ration rate. |
| OFFE | Offer Type Indicator | Specifies the conditions that apply to the offer. |
| OPTF | Option Features Indicator | Specifies the features that may apply to a corporate action option. |
| OSTA | Option Status | Specifies the status of the option. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
Qualifier (6)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | BPAR | N | F | Corporate Action Option Code Indicator | |
| 2 | F | COMM | N | F | Disposition of Fractions Indicator | |
| 3 | F | ISSU | W | F | Offer Type Indicator | |
| 4 | F | LDCO | W | F | Option Features Indicator | |
| 5 | F | LEOG | N | F | Option Status | |
| 6 | F | CALD | W | F | Certification/Breakdown Type Indicator |
Codes
If Qualifier is CAOP and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Abstain: Vote expressed as abstain. In this case, the issuing company will add the number of shares to the quorum of the meeting. If the voting right is not executed, it will not be added to the quorum. In this case, code NOAC should be used.
Vote Against Management: Vote against management.
Bonus Share Plan: Receive equities from the Share Premium Reserve of the company and considered as a capital distribution rather than a disbursement of income with different tax implications (typically found in Australia).
Buy Up: Buy additional securities to round up position.
Cash and Securities: Corporate action option includes a distribution of both cash and securities to holders.
Cash: Distribution of cash to holders.
Consent and Exchange: Vote to consent to change the terms of the securities agreement and to exchange securities.
Consent Denied: Vote not to approve the event or proposal.
Consent Granted: Vote to approve the event or proposal.
Consent and Tender: Vote to consent to change the terms of the securities agreement and to tender securities for cash.
Exercise: Exercise intermediate securities or warrants.
Lapse: Allow event or entitled security to expire.
Vote With Management: Vote with management.
Retain: An option that allows a holder to elect to retain their holding, for example, a putable bond.
No Action: Option for the account owner not to take part in the event. This would include opt-out for class actions and lodging of dissenters' rights.
Non Qualified Investor: The account owner is a Non-Qualified Investor.
Proposed Rate: In a remarketing of variable notes, the margin that shareholders can propose in respect of the next interest period.
Other: Generic corporate action option to be used in case that no other specific code is appropriate.
Oversubscribe: Subscribe to more equities than underlying securities position allows.
Proxy Card: Issue a proxy card in case of voting.
Unknown Proceeds: Proceeds not known during election period. The option can result in cash and/or securities.
Qualified Investor: The account owner is a Qualified Investor.
Securities Option: Distribution of securities to holders.
Sell Entitlement: Sell the intermediate securities.
Split Instruction: Option to give a split instruction, for example, a split voting instruction on a meeting.
If Qualifier is DISF and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Buy Up: Buy securities up to next whole number.
Fractional Part for Cash: Receive cash in lieu of fractions.
Distributed: Take distribution of fractions in the form of securities.
Round Down: Round the entitlement down to the last full unit/minimum nominal quantity, fractions are discarded.
Round Up: Round up to the next full unit/minimum nominal quantity at no cost.
Standard: If the fraction is greater than or equal to 0.5 of the resulting security then round up, else round down as specified in the respective RDUP and RDDN codes.
Unknown: Characteristics of the disposition of fractions are unknown.
If Qualifier is OFFE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Dissenter's Rights: Securities' holder has the right to disagree with a mandatory event. This right is not inherent in all offers and therefore must be noted in announcements only when applicable.
Restriction Exchange: Exchange of Restricted to Unrestricted (or vice versa).
First Come First Served: Securities will be accepted in the order they have been submitted until the target number of quantity sought is reached.
Final Offer: Final or last offer to holders subject to offer conditions being reached, for example, 50% accepted on a tender.
Partial Offer: Partial offer.
Squeeze Out Bid: Offer launched by a company, in possession of a large number of the shares (90% - 95%) of a company (generally as a result of a tender offer), in order to acquire the remaining shares of that company.
If Qualifier is OPTF and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Account Servicer Option: Option is offered by the account servicer only.
Beneficiary Owner Instruction: Indicates that the holder needs to instruct at beneficiary owner level only.
Corporate Action Option Applicability: The option applicability is not subject to the account owner decision but depends on the terms defined by the issuer, for example in the case of Equity Linked Notes or warrants.
Conditional: Feature whereby the holder can elect to place a condition on the acceptance of the option.
Maximum Cash: Maximum cash option, may be subject to scaling, as such you may receive a combination of cash and securities outturn.
Maximum Securities: Maximum stock option, may be subject to scaling, as such you may receive a combination of securities and cash outturn.
No Service Offered Indicator: Feature whereby the holder must elect directly to the issuer's agent (issuer only supported option).
Odd Lot Preference: Tender or Exchange with the Odd Lot Preference.
Previous Instruction Invalidity: Indicates that the previously sent instructions become invalid. It is only applicable after a market deadline extension.
Pro Ration: Feature whereby the option can be subject to pro ration in case, for example, of over-subscription.
Reduced Withholding Tax: Reduced withholding tax rate applies to the option.
If Qualifier is OSTA and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Inactive: Option is not active and can no longer be responded to. Any responses already processed against this option will remain valid, for example, expired option.
Cancelled: Option is not valid; it has been cancelled by the market or service provider, and cannot be responded to. Any responses already processed against this option are considered void and new responses will be required.
If Qualifier is CETI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Accredited Investor: The holder of the security has to irrevocably certify that it is an Accredited Investor as defined in US Securities and Exchange Commission Regulation D.
Country of Domicile: The holder of the security has to certify his domicile.
Fraction Breakdown: Indicates that the rounding rule in the Fraction Disposition component at the option level can be offered at the beneficial owner level.
Full Beneficial Owner Break Down: The holder of the security has to provide his beneficial owner details for disclosure/instruction purpose.
Non-Company Related Person: The holder of the security has to certify he is a Non-Company related person.
Country of Non-Domicile: The holder of the security has to certify, in line with the terms of the corporate action, that it is not domiciled in the country indicated.
(I)CSD participant breakdown: The (I)CSD has to provide its participants' details for disclosure purpose to the issuer/issuer's agent.
Beneficial Owner's Paperwork: Indicates if the Beneficial Owner is responsible to fill in the paperwork.
QIB Certification: The holder of the security has to irrevocably certify that it is a Qualified Institutional Buyer as defined in US Securities and Exchange Commission Rule 144A.
Tax Rate Break Down: The holder of the security has to provide basic details on nominals and associated tax rate to be used by the account servicer.
58
94C
Place
O
Definition
This qualified generic field specifies:| DOMI | Country of Domicile Validity | Indicates the country of domicile in which the Corporate Action option is valid. The holder of the security has to certify that it is domiciled in the country indicated. |
| NDOM | Country of NON-Domicile | The holder of the security has to certify, in line with the terms of the corporate action, that it is not domiciled in the country indicated. |
Format
| Option C | :4!c//2!a | (Qualifier)(Country Code) |
59
11A
Currency: Currency Option
O
Definition
This qualified generic field specifies:| OPTN | Currency Option | Currency in which the cash disbursed from an interest or dividend payment is offered. |
Format
| Option A | :4!c//3!a | (Qualifier)(Currency Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | LDFP | N | A | Currency Option |
60
17B
Flag
M
Definition
This qualified generic field specifies:| APLI | Applied Option Flag | Indicates whether the option, different from the default one, shall be applied by the account owner. |
| CERT | Certification/Breakdown Flag | Indicates whether certification/breakdown is required. |
| CHAN | Change Allowed Flag | Indicates whether change of instruction is allowed. |
| DFLT | Default Processing Flag | Indicates whether the option, for example, currency option, will be selected by default if no instruction is provided by the account owner. |
| RCHG | Charges Flag | Indicates whether charges apply to the holder, for instance redemption charges. |
| STIN | Standing Instruction Flag | Indicates whether an account owner has placed a standing order to select this corporate action option. |
| WTHD | Withdrawal Allowed Flag | Indicates whether withdrawal of instruction is allowed. |
Format
| Option B | :4!c//1!a | (Qualifier)(Flag) |
Qualifier (7)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | COLO | N | B | Default Processing Flag | |
| O | POOL | N | B | Standing Instruction Flag | ||
| 2 | F | NAVD | N | B | Charges Flag | |
| 3 | F | CAEV | N | B | Certification/Breakdown Flag | |
| 4 | F | REPA | N | B | Withdrawal Allowed Flag | |
| 5 | F | CANC | N | B | Change Allowed Flag | |
| 6 | F | ALAM | N | B | Applied Option Flag |
61
35B
Identification of the Financial Instrument
O
Definition
This field identifies the financial instrument.Format
| Option B | [ISIN1!e12!c] [4*35x] | (Identification of Security) (Description of Security) |
62
98a
A
Date/Time
O
B
C
E
F
J
K
Definition
This qualified generic field specifies:| BORD | Stock Lending Deadline Date/Time | Date/time set as the deadline to respond, with instructions, to an outstanding event, for which the underlying security is out on loan. |
| CVPR | Cover Expiration Date/Time | Last day a holder can deliver the securities that it had elected on and/or previously protected. |
| DVCP | Depository Cover Expiration Date/Time | The last day that a participant of the depository can deliver securities that it had elected on and/or previously protected. |
| EARD | Early Response Deadline Date/Time | Date/time that the account servicer has set as the deadline to respond, with instructions, to an outstanding event, giving the holder eligibility to incentives. This time is dependent on the reference time zone of the account servicer as specified in an SLA. |
| EXPI | Expiry Date/Time | Date/time at which an order expires or on which a privilege or offer terminates. |
| MKDT | Market Deadline Date/Time | Issuer or issuer's agent deadline to respond, with an election instruction, to an outstanding offer or privilege. |
| PODT | Protect Date/Time | Last date/time a holder can request to defer delivery of securities pursuant to a notice of guaranteed delivery or other required documentation. |
| RDDT | Response Deadline Date/Time | Date/time at which the account servicer has set as the deadline to respond, with instructions, to an outstanding event. This time is dependent on the reference time zone of the account servicer as specified in an SLA. |
| SUBS | Subscription Cost Debit Date/Time | Date/time by which cash must be in place in order to take part in the event. |
In option K, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
| Option B | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Date Code) |
| Option C | :4!c//8!n6!n | (Qualifier)(Date)(Time) |
| Option E | :4!c//8!n6!n[,3n][/[N]2!n[2!n]] | (Qualifier)(Date)(Time)(Decimals)(UTC Indicator) |
| Option F | :4!c/[8c]/4!c6!n | (Qualifier)(Data Source Scheme)(Date Code)(Time) |
| Option J | :4!c//8!n6!n/4!a2!a2!c[3!c] | (Qualifier)(Date)(Time)(Identifier Code) |
| Option K | :4!c/8c/8!n6!n/34x | (Qualifier)(Data Source Scheme)(Date)(Time)(Proprietary Code) |
Qualifier (8)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | COPC | N | A, B, C | Depository Cover Expiration Date/Time | |
| 2 | F | CORA | N | A, B, C, E | Early Response Deadline Date/Time | |
| 3 | F | DEAL | N | A, B, C | Expiry Date/Time | |
| 4 | F | GUAR | N | A, B, C, E | Market Deadline Date/Time | |
| 5 | F | N | A, B, C, E | Protect Date/Time | ||
| 6 | F | PRCV | N | A, B, C | Subscription Cost Debit Date/Time | |
| 7 | F | NAVD | N | A, B, C, E, F | Cover Expiration Date/Time | |
| 8 | F | COAP | N | A, B, C, E | Cover Expiration Date/Time |
Codes
In option B, if Data Source Scheme is not present, Date Code must contain one of the following codes:
Code
Bedeutung des Codes
Ongoing Basis: Date is determined by "on going basis" process, for example "au fil de l'eau".
Unknown Date: Date is unknown by the sender or has not been established.
In option F, if Qualifier is RDDT and Data Source Scheme is not present, Date Code must contain the following code:
Code
Bedeutung des Codes
Ongoing Basis: Date is determined by "on going basis" process, for example "au fil de l'eau".
63
69a
A
Period
O
B
C
D
E
F
J
Definition
This qualified generic field specifies:| AREV | Account Servicer Revocability Period | Period during which the participant of the account servicer can revoke change or withdraw its instructions. |
| DSWO | Depository Suspension Period for Withdrawal in Street Name on Outturn Security | Period defining the last date on which withdrawal in street name requests on the outturn security will be accepted and the date on which the suspension will be released and withdrawal by transfer processing on the outturn security will resume. |
| PARL | Parallel Trading Period | Period during which both old and new equity may be traded simultaneously, for example, consolidation of equity or splitting of equity. |
| PRIC | Price Calculation Period | Period during which the price of a security is determined. |
| PWAL | Period of Action | Period during which the specified option, or all options of the event, remains valid, for example, offer period. |
| REVO | Revocability Period | Period during which the shareholder can revoke, change or withdraw its instruction. |
| SUSP | Suspension of Privilege | Period during which the privilege is not available, for example, this can happen whenever a meeting takes place or whenever a coupon payment is due. |
Format
| Option A | :4!c//8!n/8!n | (Qualifier)(Date1)(Date2) |
| Option B | :4!c//8!n6!n/8!n6!n | (Qualifier)(Date1)(Time1)(Date2)(Time2) |
| Option C | :4!c//8!n/4!c | (Qualifier)(Date)(Date Code) |
| Option D | :4!c//8!n6!n/4!c | (Qualifier)(Date)(Time)(Date Code) |
| Option E | :4!c//4!c/8!n | (Qualifier)(Date Code)(Date) |
| Option F | :4!c//4!c/8!n6!n | (Qualifier)(Date Code)(Date)(Time) |
| Option J | :4!c//4!c | (Qualifier)(Date Code) |
Qualifier (7)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MEOR | N | A, B, C, D, E, F, J | Price Calculation Period | |
| 2 | F | ODDL | N | A, B, C, D, E, F, J | Revocability Period | |
| 3 | F | MOPN | N | A, B, C, D, E, F, J | Period of Action | |
| 4 | F | LOCL | N | A, B, C, D, E, F, J | Parallel Trading Period | |
| 5 | F | PRDF | N | A, B, C, D, E, F, J | Suspension of Privilege | |
| 6 | F | ALLE | N | A, B, C, D, E, F, J | Account Servicer Revocability Period | |
| 7 | F | CONV | N | A, B, C, D, E, F, J | Depository Suspension Period for Withdrawal in Street Name on Outturn Security |
64
92a
A
Rate
O
B
F
H
J
K
R
Definition
This qualified generic field specifies:| ATAX | Additional Tax | Rate used for additional tax that cannot be categorised. |
| GRSS | Gross Dividend Rate | Cash dividend amount per equity before deductions or allowances have been made. |
| IDFX | Issuer Declared Exchange Rate | Exchange rate (provided by the issuer) between the dividend or interest rate in the paid currency and the declared dividend or interest rate. |
| INDX | Index Factor | Public index rate applied to the amount paid to adjust it to inflation. |
| INTP | Interest Rate Used for Payment | The actual interest rate used for the payment of the interest for the specified interest period. |
| NETT | Net Dividend Rate | Cash dividend amount per equity after deductions or allowances have been made. |
| OVEP | Maximum Allowed Oversubscription Rate | A maximum percentage of shares available through the over subscription privilege, usually a percentage of the basic subscription shares, for example, an account owner subscribing to 100 shares may over subscribe to a maximum of 50 additional shares when the over subscription maximum is 50%. |
| PROR | Pro-Ration Rate | Proportionate allocation used for the offer. |
| TAXR | Withholding Tax Rate | Percentage of a cash distribution that will be withheld by the tax authorities of the jurisdiction of the issuer, for which a relief at source and/or reclaim may be possible. |
| TDMT | Taxable Income Per Dividend/Share | Amount included in the dividend/NAV that is identified as gains directly or indirectly derived from interest payments, for example, in the context of the EU Savings directive. |
| TXIN | Tax on Income | Overall tax withheld at source by fund managers prior to considering the tax obligation of each unit holder. |
| WITL | Second Level Tax | Rate at which the income will be withheld by a jurisdiction other than the jurisdiction of the issuer's country of tax incorporation, for which a relief at source and/or reclaim may be possible. It is levied in complement or offset of the withholding tax rate (TAXR) levied by the jurisdiction of the issuer's tax domicile. |
Format
| Option A | :4!c//[N]15d | (Qualifier)(Sign)(Rate) |
| Option B | :4!c//3!a/3!a/15d | (Qualifier)(First Currency Code)(Second Currency Code)(Rate) |
| Option F | :4!c//3!a15d | (Qualifier)(Currency Code)(Amount) |
| Option H | :4!c//3!a15d/4!c | (Qualifier)(Currency Code)(Amount)(Rate Status) |
| Option J | :4!c/[8c]/4!c/3!a15d[/4!c] | (Qualifier)(Data Source Scheme)(Rate Type Code)(Currency Code)(Amount)(Rate Status) |
| Option K | :4!c//4!c | (Qualifier)(Rate Type Code) |
| Option R | :4!c/[8c]/4!c/15d | (Qualifier)(Data Source Scheme)(Rate Type Code)(Rate) |
Qualifier (12)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | DSPL | W | C7, C8 | F, H, J, K | Gross Dividend Rate |
| 2 | F | PREX | W | C19 | A, F, K, R | Withholding Tax Rate |
| 3 | F | ALMR | N | A, F, K | Additional Tax | |
| 4 | F | EMAI | N | A, F, K | Index Factor | |
| 5 | F | LIDT | N | A, K | Maximum Allowed Oversubscription Rate | |
| 6 | F | MICO | N | A, K | Pro-Ration Rate | |
| 7 | F | ESTA | W | A, F, J, K | Interest Rate Used for Payment | |
| 8 | F | PRIC | W | J | Taxable Income Per Dividend/Share | |
| 9 | F | INMH | W | C7, C8 | F, H, J, K | Net Dividend Rate |
| 10 | F | EARD | N | B | Issuer Declared Exchange Rate | |
| 11 | F | REAS | N | A, F, K | Tax on Income | |
| 12 | F | REMU | W | A, F, K, R | Second Level Tax |
Codes
In option H, Rate Status must contain one of the following codes:
Code
Bedeutung des Codes
Actual Rate: Rate is actual.
Indicative Rate: Rate is indicative.
In option J, if Qualifier is GRSS and Data Source Scheme is not present, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Capital Portion: Rate relating to the underlying security for which capital is distributed.
Fully Franked: Fully franked.
Income Portion: Rate relating to the underlying security for which income is distributed.
Interest: Rate relating to the underlying security for which interest is paid.
Long Term Capital Gain: Long term capital gain.
Real Estate Property Income Portion: Rate of income distribution originated by real estate investment.
Sundry/Other Income: Rate relating to the underlying security for which other income is paid.
Short Term Capital Gain: Short term capital gain.
Taxable Portion: Rate relating to the underlying security for which tax is charged.
Tax Deferred: Rate relating to the underlying security for which tax is deferred.
Tax Free: Rate relating to the underlying security which is not taxable.
Unfranked
In option J, if Data Source Scheme is not present, Rate Status, when present, must contain one of the following codes:
Code
Bedeutung des Codes
Actual Rate: Rate is actual.
Indicative Rate: Rate is indicative.
In option K, if Qualifier is GRSS or Qualifier is INTP, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Nil Payment: Rate will not be paid.
Unknown Rate: Rate is unknown by the sender or has not been established.
In option K, if Qualifier is TAXR or Qualifier is ATAX or Qualifier is INDX or Qualifier is OVEP or Qualifier is PROR or Qualifier is NETT or Qualifier is TXIN or Qualifier is WITL, Rate Type Code must contain the following code:
Code
Bedeutung des Codes
Unknown Rate: Rate is unknown by the sender or has not been established.
In option R, if Data Source Scheme is not present, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Back Up Withholding: Withholding tax related to payments subject to Back up Withholding.
FATCA Tax: Withholding Tax related to income subject to FATCA (Foreign Account Tax Compliance Act).
NRA Tax: Withholding tax related to income subject NRA (Non Resident Alien).
In option J, if Qualifier is INTP and Data Source Scheme is not present, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Scheduled: Rate of the scheduled payment.
Unscheduled: Rate of the unscheduled payment.
In option J, if Qualifier is TDMT and Data Source Scheme is not present, Rate Type Code must contain the following code:
Code
Bedeutung des Codes
Taxable Portion: Rate relating to the underlying security for which tax is charged.
In option J, if Qualifier is NETT and Data Source Scheme is not present, Rate Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Capital Portion: Rate relating to the underlying security for which capital is distributed.
Fully Franked: Fully franked.
Income Portion: Rate relating to the underlying security for which income is distributed.
Interest: Rate relating to the underlying security for which interest is paid.
Real Estate Property Income Portion: Rate of income distribution originated by real estate investment.
Sundry/Other Income: Rate relating to the underlying security for which other income is paid.
Taxable Portion: Rate relating to the underlying security for which tax is charged.
Tax Deferred: Rate relating to the underlying security for which tax is deferred.
Tax Free: Rate relating to the underlying security which is not taxable.
Unfranked
65
90a
A
Price
O
B
E
Definition
This qualified generic field specifies:| CINL | Cash in Lieu of Shares Price | Cash disbursement in lieu of equities; usually in lieu of fractional quantity. |
| OSUB | Over-subscription Deposit Price | Amount of money required per over-subscribed equity as defined by the issuer. |
Format
| Option A | :4!c//4!c/[N]15d | (Qualifier)(Percentage Type Code)(Sign)(Price) |
| Option B | :4!c//4!c/3!a15d | (Qualifier)(Amount Type Code)(Currency Code)(Price) |
| Option E | :4!c//4!c | (Qualifier)(Price Code) |
Qualifier (2)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | CANC | N | A, B, E | Cash in Lieu of Shares Price | |
| 2 | F | LEVY | N | A, B, E | Over-subscription Deposit Price |
Codes
In option A, Percentage Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Discount: Price expressed as the number of percentage points below par, for example, a discount price of 2.0% equals a price of 98 when par is 100.
Percentage: Price expressed as a percentage of par.
Premium: Price expressed as the number of percentage points above par, for example, a premium price of 2.0% equals a price of 102 when par is 100.
Yield: Price expressed as a yield.
In option B, Amount Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Actual Amount: Price expressed as an amount of currency per unit or per share.
Discount: Price expressed as a discount amount.
Lot: Price expressed as an amount of money per lot.
Premium: Price expressed as a premium.
In option E, Price Code must contain the following code:
Code
Bedeutung des Codes
Unknown Price: Price is unknown by the sender or has not been established.
66
36a
B
Quantity of Financial Instrument
O
C
Definition
This qualified generic field specifies:| BOLQ | Back End Odd Lot Quantity | Represents the presence of a back end odd lot provision and the quantity of equity required after proration to be eligible for this privilege. |
| FOLQ | Front End Odd Lot Quantity | Specifies that if an order is prorated holders of odd lots who tender their full position will not have tendered position prorated but rather accepted in full. |
| MAEX | Maximum Quantity To Instruct | Maximum quantity of financial instrument that may be instructed. |
| MIEX | Minimum Quantity To Instruct | Minimum quantity of financial instrument that may be instructed. |
| MILT | Minimum Multiple Quantity To Instruct | Minimum multiple quantity of financial instrument that may be instructed. |
| NBLT | New Board Lot Quantity | Quantity of equity that makes up the new board lot. |
| NEWD | New Denomination Quantity | New Denomination of the equity following, for example, an increase or decrease in nominal value. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
| Option C | :4!c//4!c | (Qualifier)(Quantity Code) |
Qualifier (7)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | FORM | N | B, C | Maximum Quantity To Instruct | |
| 2 | F | GALO | N | B, C | Minimum Quantity To Instruct | |
| 3 | F | GCOS | N | B, C | Minimum Multiple Quantity To Instruct | |
| 4 | F | INDX | N | B, C | New Board Lot Quantity | |
| 5 | F | INOU | N | B, C | New Denomination Quantity | |
| 6 | F | BENE | N | B, C | Back End Odd Lot Quantity | |
| 7 | F | DENO | N | B, C | Front End Odd Lot Quantity |
Codes
In option B, Quantity Type Code must contain one of the following codes:
Code
Bedeutung des Codes
Amortised Value: Quantity expressed as an amount representing the current amortised face amount of a bond, for example, a periodic reduction/increase of a bond's principal amount.
Face Amount: Quantity expressed as an amount representing the face amount, that is, the principal, of a debt instrument.
Unit Number: Quantity expressed as a number, for example, a number of shares.
In option C, if Qualifier is MAEX or Qualifier is MIEX, Quantity Code must contain one of the following codes:
Code
Bedeutung des Codes
Any and All
Unknown Quantity: Quantity is unknown by the sender or has not been established.
In option C, if Qualifier is MILT or Qualifier is NBLT or Qualifier is NEWD or Qualifier is BOLQ or Qualifier is FOLQ, Quantity Code must contain the following code:
Code
Bedeutung des Codes
Unknown Quantity: Quantity is unknown by the sender or has not been established.
Sequenz E1 - Securities Movement [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
67
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
Codes
This field must contain the following code:
Code
Bedeutung des Codes
Securities Movement
68
22a
F
Indicator
M
H
Definition
This qualified generic field specifies:| CRDB | Credit/Debit Indicator | Specifies whether the value is a debit or credit. |
| ETYP | Type of Exemption | Specifies the basis for the reduced rate of withholding. |
| ITYP | Type of Income | Specifies the type of income. |
| NELP | Non Eligible Proceeds Indicator | Specifies information regarding outturn resources that cannot be processed by the CSD. Special delivery instruction is required from the account owner for the CA outcome to be credited. |
| NSIS | New Securities Issuance Indicator | Indicates whether the securities are newly issued or not. |
| TEMP | Temporary Indicator | Specifies that the security identified is a temporary security identification used for processing reasons, for example, contra security used in the US. |
| TXAP | Issuer/Offeror Taxability Indicator | Proceeds are taxable according to the information provided by the issuer/offeror. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
| Option H | :4!c//4!c | (Qualifier)(Indicator) |
Qualifier (7)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | CLPR | N | H | Credit/Debit Indicator | |
| 2 | F | PRIN | N | F | Temporary Indicator | |
| 3 | F | INIM | N | F | Non Eligible Proceeds Indicator | |
| 4 | F | REAG | N | F | Issuer/Offeror Taxability Indicator | |
| 5 | F | INTR | N | H | New Securities Issuance Indicator | |
| 6 | F | ETPD | N | F | Type of Income | |
| 7 | F | CVPR | W | F | Type of Exemption |
Codes
In option H, if Qualifier is CRDB, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Credit: Value is a credit.
Debit: Value is a debit.
In option F, if Qualifier is TEMP and Data Source Scheme is not present, Indicator must contain the following code:
Code
Bedeutung des Codes
Temporary Financial Instrument Identification: Temporary financial instrument identification used for processing reasons.
In option F, if Qualifier is NELP and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Non Eligible Security: Security not eligible in the CSD.
Non Eligible Currency: Currency not eligible for settlement in the CSD.
Account Limitation: Participant's account limitation.
Other Non Eligibility: Other source of non eligibility.
In option H, if Qualifier is NSIS, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Defeased Security Indicator: Funds have been placed in escrow by a trustee or agent to ensure payment on a portion of the outstanding balance of the original security on maturity date.
Existing Issue: The securities proceeds are not new issues.
Non Defeased Security Indicator: Funds will not be guaranteed at maturity by the issuer or paying agent for this newly issued non-defeased security.
New Issue: The securities proceeds are newly issued.
Non-Refunded Security Indicator: New Security issued that has not been refunded and the maturity date of the original underlying security is unchanged. Applicable only in the frame of a partial defeasance corporate action event.
Refunded Security Indicator: New security issued which has been refunded to an earlier maturity date. Applicable only in the frame of a partial defeasance corporate action event.
Unknown: It is not known whether the securities proceeds are newly issued or not.
If Qualifier is TXAP, Data Source Scheme must be used, for example, IRSX in the United States. The lists of Issuer/Offeror Taxability codes to be used in Indicator are provided in the document titled "TXAP Taxability Codes" that is available on the SMPG website at www.smpg.info.
If Qualifier is ITYP, Data Source Scheme must be used, for example, IRSX in the United States or DGIX for France. The lists of income type codes to be used in Indicator are provided in the document titled "ETYP-ITYP Exemption & Income Type Codes" that is available on the SMPG website at www.smpg.info.
If Qualifier is ETYP, Data Source Scheme must be used, for example, IRSX in the United States. The lists of exemption type codes to be used in Indicator are provided in the document titled "ETYP-ITYP Exemption & Income Type Codes" that is available on the SMPG website at www.smpg.info.