SWIFT ISO15022 Norm
Detailansicht für Nachricht MT575 - Bericht über zusammengefasste Aktivitäten
Verwendung der Nachricht MT575 
Reports on all securities and cash activity for a given combination of safekeeping and cash accounts
Anwendungsfeld der Nachricht MT575
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 intended to provide a summary of all cash and securities activity:
- for a given safekeeping account linked to one cash account (maintaining separate cash sub-accounts by currency), or
- for a given safekeeping account linked to multiple cash accounts (maintaining separate cash sub-accounts by currency), or
- for a given cash account (maintaining separate cash sub-accounts by currency) linked to multiple safekeeping accounts.
The transaction activity contained in the report includes all transactions which have been settled or booked to the safekeeping account(s) for a specified period. Booked transactions are those that have been contractually posted (including those that may not have yet settled in the local market) and have affected the portfolios cash position. This report must not include pending transactions in the receivable or payable ledgers nor may it include settled transactions that have a future settlement date; pending transactions are included in the MT 537 Statement of Pending Transactions.
The report lists all activities by currency. So called, 'free' asset movement, for example, dividends in the form of securities, must appear in the free asset movement sequence.
All currencies for which there was an activity must also be reported. When there are no activities to be reported, the activity flag, in sequence A must be used. In sequence B, a separate activity flag can be used per cash account (where multiple cash accounts are linked to one safekeeping account).
The frequency of the report must be bilaterally agreed between the account servicer and the account owner.
The message may be used to respond to a request for statement, that is, the MT 549 Request for Statement/Status Advice.
Struktur der Nachricht MT575
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
M
Definition
This field provides the page number of the message (within a statement) and a continuation indicator to indicate that the statement is to continue or that the message is the last page of the statement.Format
| Option E | 5n/4!c | (Page Number)(Continuation Indicator) |
3
13A
Number Identification: Statement Number
O
Definition
This qualified generic field specifies:| STAT | Statement Number | Sequential number assigned to the statement. |
Format
| Option A | :4!c//3!c | (Qualifier)(Number Id) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | PLED | N | A | Statement Number |
4
20C
Reference: Sender's Message Reference
M
Definition
This qualified generic field specifies:| SEME | Sender's Message Reference | Reference assigned by the Sender to unambiguously identify the message. |
Format
| Option C | :4!c//16x | (Qualifier)(Reference) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | PACO | N | C | Sender's Message Reference |
5
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
Cancellation Request: Message requesting the cancellation of a previously sent message.
New: New message.
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.
6
98a
A
Date/Time: Preparation Date/Time
O
C
E
Definition
This qualified generic field specifies:| PREP | Preparation Date/Time | Date/time at which message was prepared. |
Format
| Option A | :4!c//8!n | (Qualifier)(Date) |
| 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
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | MAXP | N | A, C, E | Preparation Date/Time |
7
69a
A
Period: Statement Period
M
B
Definition
This qualified generic field specifies:| STAT | Statement Period | Period on which the statement is reporting. |
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) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | PLED | N | A, B | Statement Period |
8
22F
Indicator
O
Definition
This qualified generic field specifies:| CODE | Complete/Updates Indicator | Specifies whether the statement is complete or contains changes only. |
| SFRE | Statement Frequency Indicator | Specifies the frequency of the statement. |
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 | PAMM | N | F | Statement Frequency Indicator | |
| 2 | F | CCTR | N | F | Complete/Updates Indicator |
Codes
If Qualifier is SFRE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Ad-Hoc: Statement is sent following a request by the Receiver.
Daily: Statement is sent daily (once per day, end-of-day).
Intra-Day: Statement is sent intra-day (multiple reports during the day).
Monthly: Statement is sent monthly (once per month).
Weekly: Statement is sent weekly (once per week).
Yearly: Statement is sent yearly (once per year).
If Qualifier is CODE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Complete: Statement gives complete information (including information (positions, instruction statuses) which is unchanged).
Delta: Statement contains changes which have not yet been reported (delta report, that is, changes only).
Sequenz A1 - Linkages [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
9
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
10
13a
A
Number Identification: Linked Message
O
B
Definition
This qualified generic field specifies:| LINK | Linked Message | Message type number/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:| 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
95a
L
Party
O
P
R
Definition
This qualified generic field specifies:| ACOW | Account Owner | Party that owns the account. |
| ALTE | Alternate ID | Alternate identification for a party. |
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option L | :4!c//18!c2!n | (Qualifier)(Legal Entity Identifier) |
| 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) |
14
97a
A
Account: Safekeeping Account
O
B
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 B | :4!c/[8c]/4!c/35x | (Qualifier)(Data Source Scheme)(Account Type Code)(Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | A, B | Safekeeping Account |
15
17B
Flag: Activity Flag
M
Definition
This qualified generic field specifies:| ACTI | Activity Flag | Indicates whether holdings are reported in this statement. |
Format
| Option B | :4!c//1!a | (Qualifier)(Flag) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | ACRU | N | B | Activity Flag |
16
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 - Cash Account Activity [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
17
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
Cash Account Activity
18
95a
L
Party
O
P
R
Definition
This qualified generic field specifies:| ACOW | Account Owner | Party that owns the account. |
| ALTE | Alternate ID | Alternate identification for a party. |
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option L | :4!c//18!c2!n | (Qualifier)(Legal Entity Identifier) |
| 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) |
19
97a
A
Account: Cash Account
M
B
Definition
This qualified generic field specifies:| CASH | Cash Account | Account in which cash is maintained. |
Format
| Option A | :4!c//35x | (Qualifier)(Account Number) |
| Option E | :4!c//34x | (Qualifier)(International Bank Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | BRKR | N | A, E | Cash Account |
Sequenz B1 - Activity Information Per Currency [ obligatorisch, wiederholend ]
No.
Tag
Option
Name
Status
20
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
Activity Information Per Currency
21
11A
Currency: Currency of Account
M
Definition
This qualified generic field specifies:| ACCT | Currency of Account | Base currency of the account. |
Format
| Option A | :4!c//3!a | (Qualifier)(Currency Code) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | ACCT | N | A | Currency of Account |
22
17B
Flag: Activity Flag
M
Definition
This qualified generic field specifies:| ACTI | Activity Flag | Indicates whether holdings are reported in this statement. |
Format
| Option B | :4!c//1!a | (Qualifier)(Flag) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | ACRU | N | B | Activity Flag |
23
93D
Balance
M
Definition
This qualified generic field specifies:| FICL | Final Closing Balance | Sum of the opening balance and all entries booked to the account at the close of the statement period. |
| FIOP | First Opening Balance | Opening balance for the statement period. It always equals the closing balance of the previous statement. |
| INCL | Intermediary Closing Balance | Closing balance of this page only. This balance must be the intermediary opening balance of the next page of the same statement. |
| INOP | Intermediary Opening Balance | Opening balance of this page only. This balance must be the intermediary closing balance of the previous page of the same statement. |
Format
| Option D | :4!c//[N]15d | (Qualifier)(Sign)(Balance) |
Sequenz B1a - Activity Information Per Transaction [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
24
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
Activity Information Per Transaction
Sequenz B1a1 - Linkages [ 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 |
26
13a
A
Number Identification: Linked Message
O
B
Definition
This qualified generic field specifies:| LINK | Linked Message | Message type number/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 |
27
20C
Reference
M
Definition
This qualified generic field specifies:| ASRF | Account Servicer Reference | Reference assigned to the reported transaction by the account servicer. |
| CLCI | Client's Collateral Instruction Reference | Reference assigned to the instruction by the client. |
| CLTR | Client's Triparty Collateral Transaction Reference | Unique reference identifying the triparty collateral management transaction from the client's point of view. |
| COMM | Common Reference | Unique reference agreed upon by the Investment Manager AND the Broker/Dealer to identify the trade. This reference should be passed down and up through the whole life cycle of the transaction. |
| CORP | Corporate Action Reference | Reference assigned by the account servicer to unambiguously identify a related corporate action event. |
| MITI | Market Infrastructure Transaction Identification | Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. |
| PCTI | Processor Transaction Identification | Identification of the transaction assigned by the processor of the instruction other than the account owner, the account servicer, and the market infrastructure. |
| POOL | Pool Reference | Collective reference identifying a set of messages. |
| 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. |
| TCTR | Triparty Agent Collateral Transaction Reference | Unique reference identifying the triparty collateral management transaction from the triparty agent's point of view. |
| TRCI | Triparty's Collateral Instruction Reference | Reference assigned to the instruction by the triparty agent. |
| TRRF | Deal Reference | Reference assigned to the trade by the Investment Manager OR the Broker/Dealer. This reference will be used throughout the trade life cycle to access/update the trade details. |
Format
| Option C | :4!c//16x | (Qualifier)(Reference) |
Qualifier (13)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MCTD | N | C | Previous Message Reference | |
| O | NOMI | N | C | Related Message Reference | ||
| O | ALLO | N | C | Account Servicer Reference | ||
| O | CETI | N | C | Common Reference | ||
| O | MAIN | N | C | Pool Reference | ||
| O | QTSO | N | C | Deal Reference | ||
| O | CITY | N | C | Corporate Action Reference | ||
| O | PRIC | N | C | Triparty Agent Collateral Transaction Reference | ||
| O | CASY | N | C | Client's Triparty Collateral Transaction Reference | ||
| O | CAPG | N | C | Client's Collateral Instruction Reference | ||
| O | QFIN | N | C | Triparty's Collateral Instruction Reference | ||
| O | GRSS | N | C | Market Infrastructure Transaction Identification | ||
| O | LOTS | N | C | Processor Transaction Identification |
28
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 B1a2 - Cash Only Movement Details [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
29
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
Cash Only Movement Details
30
19A
Amount: Posting Amount
M
Definition
This qualified generic field specifies:| PSTA | Posting Amount | Amount of money that was posted to the account. |
Format
| Option A | :4!c//[N]3!a15d | (Qualifier)(Sign)(Currency Code)(Amount) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MITR | N | A | Posting Amount |
31
36B
Quantity of Financial Instrument: Underlying Quantity
O
Definition
This qualified generic field specifies:| UNDL | Underlying Quantity | Quantity of financial instrument on which the posting amount is based. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | REGF | N | B | Underlying Quantity |
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.
32
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) |
33
22a
F
Indicator
M
H
Definition
This qualified generic field specifies:| CAEV | Corporate Action Event Indicator | Specifies the type of corporate event. |
| CASH | Type of Cash Activity Indicator | Specifies the type of activity to which the cash movement relates. |
| CRDB | Credit/Debit Indicator | Specifies whether the value is a debit or credit. |
| TRAN | Transaction Indicator | Specifies the type of activity to which this instruction relates. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
| Option H | :4!c//4!c | (Qualifier)(Indicator) |
Qualifier (4)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | PUTT | N | F | Transaction Indicator | |
| 2 | O | CLPR | N | H | Credit/Debit Indicator | |
| 3 | F | BOOK | N | F | Corporate Action Event Indicator | |
| F | BRKR | N | F | Type of Cash Activity Indicator |
Codes
In option F, if Qualifier is TRAN and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Clean Cash Activity: Transaction relates to clean cash.
Market Claim: Transaction relates to a market claim following a corporate action.
Corporate Action Activity: Transaction relates to corporate action.
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 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 fulfil 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.
In option F, if Qualifier is CASH and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Client Cash Flow: Cash movement relates to client cash flow (contribution or withdrawal).
Charges/Fees: Cash movement relates to charges/fees.
Cheques: Cash movement relates to cheques.
Collections: Cash movement relates to collections.
Cash Letter/Cheques Remittance: Cash movement relates to cash letters/cheques remittance.
Documentary Credit: Cash movement relates to documentary credit.
Eurocheques: Cash movement relates to eurocheques.
Foreign Exchange: Cash movement relates to foreign exchange.
Futures Margin Variation: Cash movement relates to futures margin variation.
Investment Management Fees: Cash movement relates to investment management fees.
Cash Interest on Long Cash Balance: Cash movement relates to interest on a long cash balance.
Stamp Duty: Cash movement relates to stamp duty.
Tax Reclaim: Cash movement relates to a tax reclaim.
Trust/Custody Fees: Cash movement relates to trust/custody fees.
Travellers Cheques: Cash movement relates to travellers cheques.
Value Date Adjustment: Cash movement relates to value date adjustment.
Withholding Tax: Cash movement relates to withholding tax.
34
98a
A
Date/Time: Effective Settlement Date/Time
M
B
C
Definition
This qualified generic field specifies:| ESET | Effective Settlement Date/Time | Date/time at which a transaction effectively settled. |
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) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | CREB | N | A, B, C | Effective Settlement Date/Time |
35
70E
Narrative: Transaction Details Narrative
O
Definition
This qualified generic field specifies:| TRDE | Transaction Details Narrative | Provides additional details on the transaction which can not be included within the structured fields of the message. |
Format
| Option E | :4!c//10*35x | (Qualifier)(Narrative) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | QINT | N | E | Transaction Details Narrative |
36
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
Cash Only Movement Details
Sequenz B1a3 - Cash and Securities Movement Details [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
37
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
Cash and Securities Movement Details
38
97a
A
Account: Safekeeping Account
O
B
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 B | :4!c/[8c]/4!c/35x | (Qualifier)(Data Source Scheme)(Account Type Code)(Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | A, B | Safekeeping Account |
39
19A
Amount
M
Definition
This qualified generic field specifies:| ACRU | Accrued Interest Amount | Amount of interest that has been accrued in between coupon payment periods. |
| DEAL | Trade Amount | Principal amount of a trade, that is, price multiplied by quantity. |
| PSTA | Posting Amount | Amount of money that was posted to the account. |
Format
| Option A | :4!c//[N]3!a15d | (Qualifier)(Sign)(Currency Code)(Amount) |
40
36B
Quantity of Financial Instrument: Posting Quantity
M
Definition
This qualified generic field specifies:| PSTA | Posting Quantity | Quantity of financial instrument posted to the safekeeping account. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MITR | N | B | Posting Quantity |
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.
41
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 |
42
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) |
43
22a
F
Indicator
M
H
Definition
This qualified generic field specifies:| BENE | Beneficial Ownership Indicator | Specifies whether there is change of beneficial ownership. |
| BLOC | Block Trade Indicator | Specifies whether the settlement instruction is a block parent or child. |
| CAEV | Corporate Action Event Indicator | Specifies the type of corporate event. |
| CASY | Cash Settlement System Indicator | Specifies what cash settlement system is instructed to be used. |
| CCPT | CCP Eligibility Indicator | Specifies whether the settlement transaction is CCP (Central Counterparty) eligible. |
| LEOG | Letter of Guarantee Indicator | Specifies whether physical settlement may be executed using a letter of guarantee or if the physical certificates should be used. |
| MACL | Market Side Indicator | Specifies whether an instruction is for a market side or a client side transaction. |
| NETT | Netting Eligibility Indicator | Specifies whether the settlement transaction is eligible for netting or not. |
| REDE | Receive/Deliver Indicator | Specifies whether the transaction is a receipt or delivery of financial instruments. |
| REGT | Registration Indicator | Specifies whether registration should occur upon receipt. |
| REPT | Repurchase Type Indicator | Specifies the type of repurchase transaction. |
| REST | Restrictions Indicator | Restrictions governing the transfer of ownership of security. |
| RTGS | Securities Real-Time Gross Settlement Indicator | Specifies whether the settlement transaction is to be settled through an RTGS or a non RTGS system. |
| SETR | Type of Settlement Transaction Indicator | Specifies underlying information regarding the type of settlement transaction. |
| SETS | Settlement System/Method Indicator | Specifies whether the settlement instruction is to be settled through the default or the alternate settlement system. |
| STAM | Stamp Duty Indicator | Specifies the stamp duty type or exemption reason applicable to the settlement instruction. |
| STCO | Settlement Transaction Condition Indicator | Specifies the conditions under which the order/trade was to be settled. |
| TCPI | Tax Capacity Party Indicator | Specifies the tax role capacity of the instructing party. |
| TRAN | Transaction Indicator | Specifies the type of activity to which this instruction relates. |
| TRCA | Party Capacity Indicator | Specifies the role of the party in the transaction. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
| Option H | :4!c//4!c | (Qualifier)(Indicator) |
Qualifier (20)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | PUTT | N | F | Transaction Indicator | |
| 2 | O | NETT | N | H | Receive/Deliver Indicator | |
| 3 | F | BOOK | N | F | Corporate Action Event Indicator | |
| F | PAFI | N | F | Type of Settlement Transaction Indicator | ||
| 4 | F | PODT | W | F | Settlement Transaction Condition Indicator | |
| 5 | F | QAGE | N | F | Party Capacity Indicator | |
| 6 | F | PLDT | N | F | Stamp Duty Indicator | |
| 7 | F | OSUB | N | F | Securities Real-Time Gross Settlement Indicator | |
| 8 | F | NINT | N | F | Registration Indicator | |
| 9 | F | AUDT | N | F | Beneficial Ownership Indicator | |
| 10 | F | BUSE | N | F | Cash Settlement System Indicator | |
| 11 | F | PRIC | N | F | Tax Capacity Party Indicator | |
| 12 | F | NTSP | N | F | Repurchase Type Indicator | |
| 13 | F | FOLQ | N | F | Market Side Indicator | |
| 14 | F | BAGA | N | F | Block Trade Indicator | |
| 15 | F | OCMT | N | F | Restrictions Indicator | |
| 16 | F | PAFI | N | F | Settlement System/Method Indicator | |
| 17 | F | INMH | N | F | Netting Eligibility Indicator | |
| 18 | F | CACK | N | F | CCP Eligibility Indicator | |
| 19 | F | EXEC | N | F | Letter of Guarantee Indicator |
Codes
In option F, if Qualifier is TRAN and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Borrowing/Lending Activity: Transaction relates to lending/borrowing.
Market Claim: Transaction relates to a market claim following a corporate action.
Collateral Activity: Transaction relates to collateral.
Corporate Action Activity: Transaction relates to corporate action.
Settlement and Clearing Activity: Transaction relates to settlement and clearing.
In option H, if Qualifier is REDE, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Deliver: Financial Instruments have been debited from the safekeeping account.
Receive: Financial Instruments have been credited to the safekeeping account.
In option F, 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 fulfil 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.
In option F, if Qualifier is SETR and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Buy Sell Back: Relates to a buy sell back transaction.
Market Claim: Transaction resulting from a market claim.
Central Bank Collateral Operation: Relates to a collateral delivery/receipt to a National Central Bank for central bank credit operations.
Collateral In: Relates to a collateral transaction, from the point of view of the collateral taker or its agent.
Collateral Out: Relates to a collateral transaction, from the point of view of the collateral giver or its agent.
DR Conversion: Relates to a depository receipt conversion.
Exchange Traded Funds: Relates to an exchange traded fund (ETF) creation or redemption.
Factor Update: Relates to a factor update.
Move of Stock: Relates to a movement of shares into or out of a pooled account.
Issuance: Relates to the issuance of a security such as an equity or a depository receipt.
Mark-Down: Relates to the decrease of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corp. event realigned).
Mark-Up: Relates to the increase of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corporate event realigned).
Netting: Relates to the netting of settlement instructions.
Non Syndicated: Relates to the issue of medium and short term paper (CP, CD, MTN, notes ...) under a program and without syndication arrangement.
External Account Transfer: Relates to an account transfer involving more than one instructing party (messages sender) and/or account servicer (messages receiver).
Internal Account Transfer: Relates to an account transfer involving one instructing party (messages sender) at one account servicer (messages receiver).
Pair-Off: Relates to a pair-off: the transaction is paired off and netted against one or more previous transactions.
Placement: Relates to the placement/new issue of a financial instrument.
Portfolio Move: Relates to a portfolio move from one investment manager to another and/or from an account servicer to another. It is generally charged differently than another account transfer (OWNE, OWNI, INSP), hence the need to identify this type of transfer as such.
Realignment: Relates to a realignment of positions.
Withdrawal: Relates to the withdrawal of specified amounts from specified sub-accounts.
Redemption (Funds): Relates to a redemption of Funds (Funds Industry ONLY).
DR Release/Cancellation: Relates to a release (into/from local) of Depository Receipt operation.
Repo: Relates to a repurchase agreement transaction.
Return of Delivery Without Matching: Relates to the return of financial instruments resulting from a rejected delivery without matching operation.
Reverse Repo: Relates to a reverse repurchase agreement transaction.
Sell Buy Back: Relates to a sell buy back transaction.
Borrowing Reallocation: Internal reallocation of a borrowed holding from one safekeeping account to another.
Securities Borrowing: Relates to a securities borrowing operation.
Securities Lending: Relates to a securities lending operation.
Lending Reallocation: Internal reallocation of a holding on loan from one safekeeping account to another.
Subscription (Funds): Relates to a subscription to funds (Funds Industry ONLY).
Syndicate of Underwriters: Relates to the issue of financial instruments through a syndicate of underwriters and a Lead Manager.
TBA Closing: Relates to a To Be Announced (TBA) closing trade.
Trade: Relates to the settlement of a trade.
Triparty Repo: Relates to a triparty repurchase agreement.
Triparty Reverse Repo: Relates to a triparty reverse repurchase agreement.
Turnaround: Relates to a turnaround: the same security is bought and sold to settle the same day, to or from different brokers.
In option F, if Qualifier is STCO and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Assignment: Transfer of ownership of the asset to another party during the closing of an option.
Clean: Tax-exempt financial instruments are to be settled.
Dirty: Taxable financial instruments are to be settled.
Delivery Without Matching: Matching receipt instruction not required (only for concerned ICSD and CSD).
Drawn: Settlement transactions relates to drawn securities.
Exercised: Settlement transaction relates to options, futures or derivatives that are exercised.
Expired: Settlement transaction relates to options, futures or derivatives that have expired.
Free Clean Settlement: Delivery will be made free of payment but a clean payment order will be sent.
Knocked Out: Settlement transaction relates to options, futures or derivatives that are expired worthless.
Not Accounting Related: Security transaction is not for accounting.
No Partial Settlement Allowed: Partial settlement is not allowed.
Partial Settlement: Partial settlement is allowed.
Physical: Securities are to be physically settled.
CSD Payment Only: Relates to transaction on a security that is not eligible at the Central Securities Depository (CSD) but for which the payment will be enacted by the CSD.
Reporting: Relates to a transaction that is for reporting purposes only.
Special Delivery: Settlement transactions to be settled with special delivery.
Split Settlement: Money and financial instruments settle in different locations.
Unexposed: Delivery cannot be performed until money is received.
In option F, if Qualifier is TRCA and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Settling as a Custodian: Settlement party is a custodian. It receives/delivers the securities and carries out custodial duties.
Settling as Riskless Principal: Party settles trades that were simultaneously offset.
Settling as an Agent: Party settles trades on behalf of his client for which he also traded.
Settling as a Principal: Party settles its own trades.
In option F, if Qualifier is RTGS and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Non-RTGS: Settle through the non-RTGS system. If there is a standing instruction in place for settlement through the RTGS instruction, then this standing instruction is to be ignored.
RTGS: Settle through the RTGS system. If there is a standing instruction in place for settlement through the non-RTGS system, then this standing instruction is to be ignored.
In option F, if Qualifier is REGT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Street Name: Hold the securities in street name. If there is a standing instruction in place to register on receipt, then this standing instruction is to be ignored.
Register: Register on receipt. If there is a standing instruction in place to hold the securities in street name, then this standing instruction is to be ignored.
In option F, if Qualifier is BENE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
NCBO: No Change of Beneficial Ownership (NCBO). If a standing instruction is in place for change of beneficial ownership (CBO), then this standing instruction is to be ignored.
CBO: Change of Beneficial Ownership (CBO). If a standing instruction is in place for no change of beneficial ownership (NCBO), then this standing instruction is to be ignored.
In option F, if Qualifier is CASY and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Gross Settlement System: Settle money through gross settlement system.
Net Settlement System: Settle money through net settlement system.
In option F, if Qualifier is TCPI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Agent: Acting as an agent for tax liability.
Principal: Acting as a principal for tax liability.
In option F, if Qualifier is REPT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Swap/Substitution: Relates to a repo collateral substitution.
Repo Call: Relates to a change in the closing or maturity date or the providing of the termination date for an open repo.
Principal/Exposure Adjustment: Relates to a principal adjustment.
Pair-Off: Relates to a repo that is part of a pair-off.
Repo Rate: Relates to a change in the repo rate.
Rollover: Relates to a repo rollover of a position extending the closing or maturity date.
Top-Up: Relates to a cover of securities position due to deficit of collateral following mark to market valuation.
Withdrawal: Relates to a return of securities position due to excess of collateral following mark to market valuation.
In option F, if Qualifier is MACL and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Client Side: Instruction is for a client side transaction.
Market Side: Instruction is for a market side transaction.
In option F, if Qualifier is BLOC and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Block Trade Child: Transaction is a block trade child.
Block Trade Parent: Transaction is a block trade parent.
In option F, if Qualifier is REST and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Pursuant to 144A: Ownership or transfer of an unregistered security issued, pursuant to US legal restrictions 144A.
Not Subject to Restrictions: Ownership or transfer of a security that is not subject to restrictions.
Subject to Restrictions (not pursuant to 144A): Ownership or transfer of a security that is subject to restrictions, and not pursuant to 144A.
In option F, if Qualifier is SETS and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Default Settlement System/Method: Settle through the default settlement system/method. If there is a standing instruction in place for settlement through the alternate settlement system/method, then this standing instruction is to be ignored.
Alternate Settlement System/Method: Settle through the alternate settlement system/method. If there is a standing instruction in place for settlement through the default settlement system/method, then this standing instruction is to be ignored.
In option F, if Qualifier is NETT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Not Netting Eligible: Settlement instruction is not eligible for netting.
Netting Eligible: Settlement instruction is eligible for netting.
In option F, if Qualifier is CCPT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Not CCP Eligible: Settlement instruction is not CCP eligible.
CCP Eligible: Settlement instruction is CCP eligible.
In option F, if Qualifier is LEOG and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Letter of Guarantee Not Accepted: Letter of guarantee is not accepted. If there is a standing instruction in place to accept a letter of guarantee, then this standing instruction is to be ignored.
Letter of Guarantee Accepted: Letter of guarantee is accepted. If there is a standing instruction in place not to accept a letter of guarantee, then this standing instruction is to be ignored.
In option F, if Qualifier is STAM, the Data Source Scheme must be used to indicate the stamp duty type or reason, for example, in the United Kingdom and Ireland (CRST), in South Africa (STRA), etc.
44
98a
A
Date/Time
M
B
C
Definition
This qualified generic field specifies:| ESET | Effective Settlement Date/Time | Date/time at which a transaction effectively settled. |
| SETT | Settlement Date/Time | Date/time at which the financial instruments are to be delivered or received. |
| TRAD | Trade Date/Time | Date/time at which the trade was executed. |
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) |
Qualifier (3)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | CREB | N | A, C | Effective Settlement Date/Time | |
| 2 | F | PAIR | N | A, B, C | Settlement Date/Time | |
| 3 | F | PTYB | N | A, B, C | Trade Date/Time |
Codes
In option B, if Qualifier is SETT and Data Source Scheme is not present, Date Code must contain the following code:
Code
Bedeutung des Codes
When Issued: Settlement was done when the security was issued.
In option B, if Qualifier is TRAD and Data Source Scheme is not present, Date Code must contain the following code:
Code
Bedeutung des Codes
Various: Partial trades have occurred over a period of two or more days.
45
25D
Status Code: Movement Status
O
Definition
This qualified generic field specifies:| MOVE | Movement Status | Provides the status of the movement. |
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 | F | IDFX | N | D | Movement Status |
Codes
If Data Source Scheme is not present, Status Code must contain the following code:
Code
Bedeutung des Codes
Reversal: Reversal of a previously reported movement.
46
70E
Narrative: Transaction Details Narrative
O
Definition
This qualified generic field specifies:| TRDE | Transaction Details Narrative | Provides additional details on the transaction which can not be included within the structured fields of the message. |
Format
| Option E | :4!c//10*35x | (Qualifier)(Narrative) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | QINT | N | E | Transaction Details Narrative |
47
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
Cash and Securities Movement Details
Sequenz B1a4 - Settlement Parties [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
48
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
Settlement Parties
49
95a
C
Party
M
L
P
Q
R
Definition
This qualified generic field specifies:| ALTE | Alternate ID | Alternate identification for a party. |
| BUYR | Buyer | Party that receives the financial instrument. |
| DEAG | Delivering Agent | Delivering party that interacts with the place of settlement. |
| DECU | Deliverer's Custodian | Party that interacts with the delivering agent unless intermediaries exist. |
| DEI1 | Deliverer's Intermediary 1 | Party that interacts with the delivering intermediary 2, if present. If the delivering intermediary 2 is not present, this is the party that interacts with the delivering agent. |
| DEI2 | Deliverer's Intermediary 2 | When present, party that interacts with the delivering agent. |
| PSET | Place of Settlement | Place of settlement. |
| REAG | Receiving Agent | Receiving party that interacts with the place of settlement. |
| RECU | Receiver's Custodian | Party that interacts with the receiving agent unless intermediaries exist. |
| REI1 | Receiver's Intermediary 1 | Party that interacts with the receiving intermediary 2, if present. If the receiving intermediary 2 is not present, this is the party that interacts with the receiving agent. |
| REI2 | Receiver's Intermediary 2 | When present, party that interacts with the receiving agent. |
| SELL | Seller | Party that delivers the financial instrument. |
In option P, Identifier Code specifies a BIC. For more details, see the Standards MT General Information.
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option C | :4!c//2!a | (Qualifier)(Country Code) |
| Option L | :4!c//18!c2!n | (Qualifier)(Legal Entity Identifier) |
| Option P | :4!c//4!a2!a2!c[3!c] | (Qualifier)(Identifier Code) |
| Option Q | :4!c//4*35x | (Qualifier)(Name and Address) |
| Option R | :4!c/8c/34x | (Qualifier)(Data Source Scheme)(Proprietary Code) |
Qualifier (12)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | BLOK | N | C4, C5 | P, Q, R | Buyer |
| O | COIN | N | C4 | P, Q, R | Delivering Agent | |
| O | COLI | N | C4, C5 | P, Q, R | Deliverer's Custodian | |
| O | COLI | N | C4, C5 | P, Q, R | Deliverer's Intermediary 1 | |
| O | COLL | N | C4, C5 | P, Q, R | Deliverer's Intermediary 2 | |
| O | MITI | N | C4 | C, P, Q | Place of Settlement | |
| O | NBLT | N | C4 | P, Q, R | Receiving Agent | |
| O | NETT | N | C4, C5 | P, Q, R | Receiver's Custodian | |
| O | NMAT | N | C4, C5 | P, Q, R | Receiver's Intermediary 1 | |
| O | NOMI | N | C4, C5 | P, Q, R | Receiver's Intermediary 2 | |
| O | PACK | N | C4, C5 | P, Q, R | Seller | |
| 2 | F | AGRE | N | L | Alternate ID |
50
97a
A
Account: Safekeeping Account
C
B
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 B | :4!c/[8c]/4!c/35x | (Qualifier)(Data Source Scheme)(Account Type Code)(Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | A, B | Safekeeping Account |
51
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
Settlement Parties
52
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
Activity Information Per Transaction
53
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
Activity Information Per Currency
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
Cash Account Activity
Sequenz C - Free Asset Activity [ fakultativ, nicht 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
Free Asset Activity
Sequenz C1 - Linkages [ obligatorisch, wiederholend ]
No.
Tag
Option
Name
Status
56
16R
Start of Block
M
Definition
This field specifies the start of a block and the name of that block.Format
| Option R | 16c |
57
13a
A
Number Identification: Linked Message
O
B
Definition
This qualified generic field specifies:| LINK | Linked Message | Message type number/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 |
58
20C
Reference
M
Definition
This qualified generic field specifies:| ASRF | Account Servicer Reference | Reference assigned to the transaction reported by the account servicer. |
| CLCI | Client's Collateral Instruction Reference | Reference assigned to the instruction by the client. |
| CLTR | Client's Triparty Collateral Transaction Reference | Unique reference identifying the triparty collateral management transaction from the client's point of view. |
| COMM | Common Reference | Unique reference agreed upon by the Investment Manager AND the Broker/Dealer to identify the trade. This reference should be passed down and up through the whole life cycle of the transaction. |
| CORP | Corporate Action Reference | Reference assigned by the account servicer to unambiguously identify a related corporate action event. |
| MITI | Market Infrastructure Transaction Identification | Identification of a transaction assigned by a market infrastructure other than a central securities depository, for example, Target2-Securities. |
| PCTI | Processor Transaction Identification | Identification of the transaction assigned by the processor of the instruction other than the account owner, the account servicer, and the market infrastructure. |
| POOL | Pool Reference | Collective reference identifying a set of messages. |
| 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. |
| TCTR | Triparty Agent Collateral Transaction Reference | Unique reference identifying the triparty collateral management transaction from the triparty agent's point of view. |
| TRCI | Triparty's Collateral Instruction Reference | Reference assigned to the instruction by the triparty agent. |
| TRRF | Deal Reference | Reference assigned to the trade by the Investment Manager OR the Broker/Dealer. This reference will be used throughout the trade life cycle to access/update the trade details. |
Format
| Option C | :4!c//16x | (Qualifier)(Reference) |
Qualifier (13)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MCTD | N | C | Previous Message Reference | |
| O | NOMI | N | C | Related Message Reference | ||
| O | ALLO | N | C | Account Servicer Reference | ||
| O | CETI | N | C | Common Reference | ||
| O | MAIN | N | C | Pool Reference | ||
| O | QTSO | N | C | Deal Reference | ||
| O | CITY | N | C | Corporate Action Reference | ||
| O | PRIC | N | C | Triparty Agent Collateral Transaction Reference | ||
| O | CASY | N | C | Client's Triparty Collateral Transaction Reference | ||
| O | CAPG | N | C | Client's Collateral Instruction Reference | ||
| O | QFIN | N | C | Triparty's Collateral Instruction Reference | ||
| O | GRSS | N | C | Market Infrastructure Transaction Identification | ||
| O | LOTS | N | C | Processor Transaction Identification |
59
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 C2 - Transaction Details [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
60
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
Transaction Details
61
95a
L
Party
O
P
R
Definition
This qualified generic field specifies:| ACOW | Account Owner | Party that owns the account. |
| ALTE | Alternate ID | Alternate identification for a party. |
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option L | :4!c//18!c2!n | (Qualifier)(Legal Entity Identifier) |
| 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) |
62
97a
A
Account: Safekeeping Account
O
B
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 B | :4!c/[8c]/4!c/35x | (Qualifier)(Data Source Scheme)(Account Type Code)(Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | A, B | Safekeeping Account |
63
36B
Quantity of Financial Instrument: Posting Quantity
M
Definition
This qualified generic field specifies:| PSTA | Posting Quantity | Quantity of financial instrument posted to the safekeeping account. |
Format
| Option B | :4!c//4!c/15d | (Qualifier)(Quantity Type Code)(Quantity) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | MITR | N | B | Posting Quantity |
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.
64
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 |
65
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) |
66
22a
F
Indicator
M
H
Definition
This qualified generic field specifies:| BENE | Beneficial Ownership Indicator | Specifies whether there is change of beneficial ownership. |
| BLOC | Block Trade Indicator | Specifies whether the settlement instruction is a block parent or child. |
| CAEV | Corporate Action Event Indicator | Specifies the type of corporate event. |
| CCPT | CCP Eligibility Indicator | Specifies whether the settlement transaction is CCP (Central Counterparty) eligible. |
| LEOG | Letter of Guarantee Indicator | Specifies whether physical settlement may be executed using a letter of guarantee or if the physical certificates should be used. |
| MACL | Market Side Indicator | Specifies whether an instruction is for a market side or a client side transaction. |
| NETT | Netting Eligibility Indicator | Specifies whether the settlement transaction is eligible for netting. |
| REDE | Receive/Deliver Indicator | Specifies whether the transaction is a receipt or delivery of financial instruments. |
| REGT | Registration Indicator | Specifies whether registration should occur upon receipt. |
| REPT | Repurchase Type Indicator | Specifies the type of repurchase transaction. |
| REST | Restrictions Indicator | Restrictions governing the transfer of ownership of security. |
| RTGS | Securities Real-Time Gross Settlement Indicator | Specifies whether the settlement transaction is to be settled through an RTGS or a non RTGS system. |
| SETR | Type of Settlement Transaction Indicator | Specifies underlying information regarding the type of settlement transaction. |
| SETS | Settlement System/Method Indicator | Specifies whether the settlement instruction is to be settled through the default or the alternate settlement system. |
| STAM | Stamp Duty Indicator | Specifies the stamp duty type or exemption reason applicable to the settlement instruction. |
| STCO | Settlement Transaction Condition Indicator | Specifies the conditions under which the order/trade was to be settled. |
| TCPI | Tax Capacity Party Indicator | Specifies the tax role capacity of the instructing party. |
| TRAN | Transaction Indicator | Specifies the type of activity to which this instruction relates. |
| TRCA | Party Capacity Indicator | Specifies the role of the party in the transaction. |
Format
| Option F | :4!c/[8c]/4!c | (Qualifier)(Data Source Scheme)(Indicator) |
| Option H | :4!c//4!c | (Qualifier)(Indicator) |
Qualifier (19)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | PUTT | N | F | Transaction Indicator | |
| 2 | F | NETT | N | H | Receive/Deliver Indicator | |
| 3 | F | BOOK | N | F | Corporate Action Event Indicator | |
| F | PAFI | N | F | Type of Settlement Transaction Indicator | ||
| 4 | F | PODT | W | F | Settlement Transaction Condition Indicator | |
| 5 | F | QAGE | N | F | Party Capacity Indicator | |
| 6 | F | PLDT | N | F | Stamp Duty Indicator | |
| 7 | F | OSUB | N | F | Securities Real-Time Gross Settlement Indicator | |
| 8 | F | NINT | N | F | Registration Indicator | |
| 9 | F | AUDT | N | F | Beneficial Ownership Indicator | |
| 10 | F | PRIC | N | F | Tax Capacity Party Indicator | |
| 11 | F | NTSP | N | F | Repurchase Type Indicator | |
| 12 | F | FOLQ | N | F | Market Side Indicator | |
| 13 | F | BAGA | N | F | Block Trade Indicator | |
| 14 | F | OCMT | N | F | Restrictions Indicator | |
| 15 | F | PAFI | N | F | Settlement System/Method Indicator | |
| 16 | F | INMH | N | F | Netting Eligibility Indicator | |
| 17 | F | CACK | N | F | CCP Eligibility Indicator | |
| 18 | F | EXEC | N | F | Letter of Guarantee Indicator |
Codes
In option F, if Qualifier is TRAN and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Borrowing/Lending Activity: Transaction relates to lending/borrowing.
Market Claim: Transaction relates to a market claim following a corporate action.
Collateral Activity: Transaction relates to collateral.
Corporate Action Activity: Transaction relates to corporate action.
Settlement and Clearing Activity: Transaction relates to settlement and clearing.
In option H, if Qualifier is REDE, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Deliver: Financial Instruments have been debited from the safekeeping account.
Receive: Financial Instruments have been credited to the safekeeping account.
In option F, 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 fulfil 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.
In option F, if Qualifier is SETR and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Buy Sell Back: Relates to a buy sell back transaction.
Market Claim: Transaction resulting from a market claim.
Central Bank Collateral Operation: Relates to a collateral delivery/receipt to a National Central Bank for central bank credit operations.
Collateral In: Relates to a collateral transaction, from the point of view of the collateral taker or its agent.
Collateral Out: Relates to a collateral transaction, from the point of view of the collateral giver or its agent.
DR Conversion: Relates to a depository receipt conversion.
Exchange Traded Funds: Relates to an exchange traded fund (ETF) creation or redemption.
Factor Update: Relates to a factor update.
Move of Stock: Relates to a movement of shares into or out of a pooled account.
Issuance: Relates to the issuance of a security such as an equity or a depository receipt.
Mark-Down: Relates to the decrease of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corp. event realigned).
Mark-Up: Relates to the increase of positions held by an ICSD at the common depository due to custody operations (repurchase, pre-release, proceed of corporate event realigned).
Netting: Relates to the netting of settlement instructions.
Non Syndicated: Relates to the issue of medium and short term paper (CP, CD, MTN, notes ...) under a program and without syndication arrangement.
External Account Transfer: Relates to an account transfer involving more than one instructing party (messages sender) and/or account servicer (messages receiver).
Internal Account Transfer: Relates to an account transfer involving one instructing party (messages sender) at one account servicer (messages receiver).
Pair-Off: Relates to a pair-off: the transaction is paired off and netted against one or more previous transactions.
Placement: Relates to the placement/new issue of a financial instrument.
Portfolio Move: Relates to a portfolio move from one investment manager to another and/or from an account servicer to another. It is generally charged differently than another account transfer (OWNE, OWNI, INSP), hence the need to identify this type of transfer as such.
Realignment: Relates to a realignment of positions.
Withdrawal: Relates to the withdrawal of specified amounts from specified sub-accounts.
Redemption (Funds): Relates to a redemption of Funds (Funds Industry ONLY).
DR Release/Cancellation: Relates to a release (into/from local) of Depository Receipt operation.
Repo: Relates to a repurchase agreement transaction.
Return of Delivery Without Matching: Relates to the return of financial instruments resulting from a rejected delivery without matching operation.
Reverse Repo: Relates to a reverse repurchase agreement transaction.
Sell Buy Back: Relates to a sell buy back transaction.
Borrowing Reallocation: Internal reallocation of a borrowed holding from one safekeeping account to another.
Securities Borrowing: Relates to a securities borrowing operation.
Securities Lending: Relates to a securities lending operation.
Lending Reallocation: Internal reallocation of a holding on loan from one safekeeping account to another.
Subscription (Funds): Relates to a subscription to funds (Funds Industry ONLY).
Syndicate of Underwriters: Relates to the issue of financial instruments through a syndicate of underwriters and a Lead Manager.
TBA Closing: Relates to a To Be Announced (TBA) closing trade.
Trade: Relates to the settlement of a trade.
Triparty Repo: Relates to a triparty repurchase agreement.
Triparty Reverse Repo: Relates to a triparty reverse repurchase agreement.
Turnaround: Relates to a turnaround: the same security is bought and sold to settle the same day, to or from different brokers.
In option F, if Qualifier is STCO and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Assignment: Transfer of ownership of the asset to another party during the closing of an option.
Tax-Exempt: Tax-exempt financial instruments are to be settled.
Non Tax-Exempt: Taxable financial instruments are to be settled.
Delivery Without Matching: Matching receipt instruction not required (only for concerned ICSD and CSD).
Drawn: Settlement transactions relates to drawn securities.
Exercised: Settlement transaction relates to options, futures or derivatives that are exercised.
Expired: Settlement transaction relates to options, futures or derivatives that have expired.
Free Clean Settlement: Delivery will be made free of payment but a clean payment order will be sent.
Knocked Out: Settlement transaction relates to options, futures or derivatives that are expired worthless.
Not Accounting Related: Security transaction is not for accounting.
No Partial Settlement Allowed: Partial settlement is not allowed.
Partial Settlement: Partial settlement is allowed.
Physical: Securities are to be physically settled.
CSD Payment Only: Relates to transaction on a security that is not eligible at the Central Securities Depository (CSD) but for which the payment will be enacted by the CSD.
Reporting: Relates to a transaction that is for reporting purposes only.
Special Delivery: Settlement transactions to be settled with special delivery.
Unexposed: Delivery cannot be performed until money is received.
In option F, if Qualifier is TRCA and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Settling as a Custodian: Settlement party is a custodian. It receives/delivers the securities and carries out custodial duties.
Settling as an Agent: Party settles trades on behalf of his client for which he also traded.
Settling as a Principal: Party settles its own trades.
In option F, if Qualifier is RTGS and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Non-RTGS: Settle through the non-RTGS system. If there is a standing instruction in place for settlement through the RTGS instruction, then this standing instruction is to be ignored.
RTGS: Settle through the RTGS system. If there is a standing instruction in place for settlement through the non-RTGS system, then this standing instruction is to be ignored.
In option F, if Qualifier is REGT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Street Name: Hold the securities in street name. If there is a standing instruction in place to register on receipt, then this standing instruction is to be ignored.
Register: Register on receipt. If there is a standing instruction in place to hold the securities in street name, then this standing instruction is to be ignored.
In option F, if Qualifier is BENE and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
NCBO: No Change of Beneficial Ownership (NCBO). If a standing instruction is in place for change of beneficial ownership (CBO), then this standing instruction is to be ignored.
CBO: Change of Beneficial Ownership (CBO). If a standing instruction is in place for no change of beneficial ownership (NCBO), then this standing instruction is to be ignored.
In option F, if Qualifier is TCPI and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Agent: Acting as an agent for tax liability.
Principal: Acting as a principal for tax liability.
In option F, if Qualifier is REPT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Swap/Substitution: Relates to a repo collateral substitution.
Repo Call: Relates to a change in the closing or maturity date or the providing of the termination date for an open repo.
Principal/Exposure Adjustment: Relates to a principal adjustment.
Pair-Off: Relates to a repo that is part of a pair-off.
Repo Rate: Relates to a change in the repo rate.
Rollover: Relates to a repo rollover of a position extending the closing or maturity date.
Top-Up: Relates to a cover of securities position due to deficit of collateral following mark to market valuation.
Withdrawal: Relates to a return of securities position due to excess of collateral following mark to market valuation.
In option F, if Qualifier is MACL and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Client Side: Instruction is for a client side transaction.
Market Side: Instruction is for a market side transaction.
In option F, if Qualifier is BLOC and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Block Trade Child: Transaction is a block trade child.
Block Trade Parent: Transaction is a block trade parent.
In option F, if Qualifier is REST and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Pursuant to 144A: Ownership or transfer of an unregistered security issued, pursuant to US legal restrictions 144A.
Not Subject to Restrictions: Ownership or transfer of a security that is not subject to restrictions.
Subject to Restrictions (not pursuant to 144A): Ownership or transfer of a security that is subject to restrictions, and not pursuant to 144A.
In option F, if Qualifier is SETS and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Default Settlement System/Method: Settle through the default settlement system/method. If there is a standing instruction in place for settlement through the alternate settlement system/method, then this standing instruction is to be ignored.
Alternate Settlement System/Method: Settle through the alternate settlement system/method. If there is a standing instruction in place for settlement through the default settlement system/method, then this standing instruction is to be ignored.
In option F, if Qualifier is NETT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Not Netting Eligible: Settlement instruction is not eligible for netting.
Netting Eligible: Settlement instruction is eligible for netting.
In option F, if Qualifier is CCPT and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Not CCP Eligible: Settlement instruction is not CCP eligible.
CCP Eligible: Settlement instruction is CCP eligible.
In option F, if Qualifier is LEOG and Data Source Scheme is not present, Indicator must contain one of the following codes:
Code
Bedeutung des Codes
Letter of Guarantee Not Accepted: Letter of guarantee is not accepted. If there is a standing instruction in place to accept a letter of guarantee, then this standing instruction is to be ignored.
Letter of Guarantee Accepted: Letter of guarantee is accepted. If there is a standing instruction in place not to accept a letter of guarantee, then this standing instruction is to be ignored.
In option F, if Qualifier is STAM, the Data Source Scheme must be used to indicate the stamp duty type or reason, for example, in the United Kingdom and Ireland (CRST), in South Africa (STRA), etc.
67
98a
A
Date/Time
M
B
C
Definition
This qualified generic field specifies:| ESET | Effective Settlement Date/Time | Date/time at which a transaction effectively settled. |
| SETT | Settlement Date/Time | Date/time at which the financial instruments are to be delivered or received. |
| TRAD | Trade Date/Time | Date/time at which the deal was agreed. |
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) |
Qualifier (3)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | CREB | N | A, C | Effective Settlement Date/Time | |
| 2 | F | PAIR | N | A, B, C | Settlement Date/Time | |
| 3 | F | PTYB | N | A, B, C | Trade Date/Time |
Codes
In option B, if Qualifier is SETT and Data Source Scheme is not present, Date Code must contain the following code:
Code
Bedeutung des Codes
When Issued: Settlement was done when the security was issued.
In option B, if Qualifier is TRAD and Data Source Scheme is not present, Date Code must contain the following code:
Code
Bedeutung des Codes
Various: Partial trades have occurred over a period of two or more days.
68
25D
Status Code: Movement Status
O
Definition
This qualified generic field specifies:| MOVE | Movement Status | Provides the status of the movement. |
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 | F | IDFX | N | D | Movement Status |
Codes
If Data Source Scheme is not present, Status Code must contain the following code:
Code
Bedeutung des Codes
Reversal: Reversal of a previously reported movement.
69
70E
Narrative: Transaction Details Narrative
O
Definition
This qualified generic field specifies:| TRDE | Transaction Details Narrative | Provides additional details on the transaction which can not be included within the structured fields of the message. |
Format
| Option E | :4!c//10*35x | (Qualifier)(Narrative) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | QINT | N | E | Transaction Details Narrative |
Sequenz C2a - Settlement Parties [ fakultativ, wiederholend ]
No.
Tag
Option
Name
Status
70
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
Settlement Parties
71
95a
C
Party
M
L
P
Q
R
Definition
This qualified generic field specifies:| ALTE | Alternate ID | Alternate identification for a party. |
| BUYR | Buyer | Party that receives the financial instrument. |
| DEAG | Delivering Agent | Delivering party that interacts with the place of settlement. |
| DECU | Deliverer's Custodian | Party that interacts with the delivering agent unless intermediaries exist. |
| DEI1 | Deliverer's Intermediary 1 | Party that interacts with the delivering intermediary 2, if present. If the delivering intermediary 2 is not present, this is the party that interacts with the delivering agent. |
| DEI2 | Deliverer's Intermediary 2 | When present, party that interacts with the delivering agent. |
| PSET | Place of Settlement | Place of settlement. |
| REAG | Receiving Agent | Receiving party that interacts with the place of settlement. |
| RECU | Receiver's Custodian | Party that interacts with the receiving agent unless intermediaries exist. |
| REI1 | Receiver's Intermediary 1 | Party that interacts with the receiving intermediary 2, if present. If the receiving intermediary 2 is not present, this is the party that interacts with the receiving agent. |
| REI2 | Receiver's Intermediary 2 | When present, party that interacts with the receiving agent. |
| SELL | Seller | Party that delivers the financial instrument. |
In option P, Identifier Code specifies a BIC. For more details, see the Standards MT General Information.
In option R, Proprietary Code specifies a local national code or market segment code identifying the party.
Format
| Option C | :4!c//2!a | (Qualifier)(Country Code) |
| Option L | :4!c//18!c2!n | (Qualifier)(Legal Entity Identifier) |
| Option P | :4!c//4!a2!a2!c[3!c] | (Qualifier)(Identifier Code) |
| Option Q | :4!c//4*35x | (Qualifier)(Name and Address) |
| Option R | :4!c/8c/34x | (Qualifier)(Data Source Scheme)(Proprietary Code) |
Qualifier (12)
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | O | BLOK | N | C6, C7 | P, Q, R | Buyer |
| O | COIN | N | C6 | P, Q, R | Delivering Agent | |
| O | COLI | N | C6, C7 | P, Q, R | Deliverer's Custodian | |
| O | COLI | N | C6, C7 | P, Q, R | Deliverer's Intermediary 1 | |
| O | COLL | N | C6, C7 | P, Q, R | Deliverer's Intermediary 2 | |
| O | MITI | N | C6 | C, P, Q | Place of Settlement | |
| O | NBLT | N | C6 | P, Q, R | Receiving Agent | |
| O | NETT | N | C6, C7 | P, Q, R | Receiver's Custodian | |
| O | NMAT | N | C6, C7 | P, Q, R | Receiver's Intermediary 1 | |
| O | NOMI | N | C6, C7 | P, Q, R | Receiver's Intermediary 2 | |
| O | PACK | N | C6, C7 | P, Q, R | Seller | |
| 2 | F | AGRE | N | L | Alternate ID |
72
97a
A
Account: Safekeeping Account
C
B
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 B | :4!c/[8c]/4!c/35x | (Qualifier)(Data Source Scheme)(Account Type Code)(Account Number) |
Qualifier
| Reihenfolge | O/F | Qualifier | W/N | CR | Options | Bedeutung |
|---|---|---|---|---|---|---|
| 1 | F | OVEP | N | A, B | Safekeeping Account |
73
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
Settlement Parties
74
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
Transaction Details
75
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
Free Asset Activity
Sequenz D - Additional Information [ fakultativ, nicht wiederholend ]
No.
Tag
Option
Name
Status
76
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
Additional Information
77
95a
P
Party
O
Q
R
Definition
This qualified generic field specifies:| MEOR | Originator of Message | Party that originated the message, if other than the Sender. |
| MERE | Recipient of Message | Party that is the final destination of the message, if other than the Receiver. |
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 Q | :4!c//4*35x | (Qualifier)(Name and Address) |
| Option R | :4!c/8c/34x | (Qualifier)(Data Source Scheme)(Proprietary Code) |
78
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
Additional Information