Connectivity
Alliance Lite 2.0
CSV File Upload
This guide describes how to upload CSV files in Alliance Lite and how Alliance Lite transforms the lines in these CSV
files into messages (MT or MX) and sends them as properly formatted MT or MX messages over SWIFTNet. This
guide is for those who configure AutoClient, and those who send and receive files with AutoClient.
19 November 2010
Alliance Lite - 2.0
Table of Contents
Table of Contents ...............................................................................................................................2
Preface .................................................................................................................................................3
1
Introduction ...............................................................................................................................4
1.1
1.2
1.3
Process to Upload CSV Files ..................................................................................................4
CSV File Format......................................................................................................................5
Guidelines for Field Input ........................................................................................................5
2
Uploading Funds Orders CSV Files .......................................................................................7
3
Uploading Funds Order Status CSV Files ...........................................................................26
4
Uploading Funds Confirmations CSV Files .........................................................................31
5
Uploading Fund Statement CSV Files ..................................................................................56
6
Uploading Securities Settlement Instructions CSV Files ..................................................63
Appendix A........................................................................................................................................92
A.1
Character Sets ......................................................................................................................92
Legal Notices ....................................................................................................................................94
2
CSV File Upload
Preface
Preface
Purpose of this document
This document contains information on how to send certain types of MT or MX messages using
the upload CSV (comma separated values) files feature in Alliance Lite.
Intended audience
This document is for the following audience:
•
Funds managers
•
Securities investors
Related documentation
•
19 November 2010
AutoClient Installation and User Guide
3
Alliance Lite - 2.0
1
Introduction
What is a CSV file
To send certain types of SWIFT messages, you can upload CSV (comma separated values) files
with AutoClient into Alliance Lite. Alliance Lite transforms the lines in these CSV files into SWIFT
messages, and then sends them as properly formatted MT or MX messages over SWIFTNet to
your counterparties.
The following are the advantages of using this feature:
•
You do not need to learn the syntax of SWIFT messages, while your counterparty receives
a properly formatted SWIFT message.
•
You can send SWIFT messages in an automated fashion, without the need to retype data
from another application into Alliance Lite screens.
•
Since CSV format is widely supported, many applications such as Microsoft Excel can
easily be used to produce files in this widely-supported format.
To make it easy to build these CSV files, SWIFT provides sample Excel and CSV files, with
columns in the correct order and with sample data in electronic format. The sample data in these
files can be replaced easily with real data. If you use custom applications to create the CSV file,
you must make sure the CSV file format adheres to the format required by Alliance Lite, as
described in this document..
The following message types can be uploaded in CSV format:
•
For Funds Distributors
−
•
•
Funds Orders MX (Redemption Order setr.004, Subscription Order setr.010, and
Switch Order setr.013)
For Funds Transfer Agents or Funds Administrators
−
Funds Statuses MX (setr.016)
−
Funds Confirmations MX (setr.006, setr.012, setr.015)
−
Funds Statements of Holdings MX (semt.002, semt.003)
For Investment Managers or Broker/Dealers
−
Securities Settlement Instructions MT (MT 540, MT 541, MT 542, MT 543)
Each line read from the CSV file by Alliance Lite will be transformed into a SWIFTNet message,
respecting the standardised electronically readable format of the relevant SWIFTNet Funds MX
messages or FIN MT messages. Such standard SWIFTNet messages can easily be processed
by automated systems at the receiver side.
1.1
Process to Upload CSV Files
Process
The following provides a brief overview about the CSV file uploading process:
4
1.
The CSV file is dropped in the Emission folder of the AutoClient.
2.
AutoClient scans this Emission folder regularly, and if it finds a file with a filename that
ends in a .csv file extension, for example, todays_funds_orders_file.csv., it automatically
uploads the file. See the Alliance Lite AutoClient Installation and User Guide for more
details.
3.
The lines of the CSV file are transformed by Alliance Lite into MX or MT messages.
4.
The MT or MX messages are sent over SWIFTNet.
CSV File Upload
Introduction
The messages uploaded from the CSV files are visible in the Alliance Lite web
interface with the Outbox feature. If the AutoClient token is configured for autoapproval, then the uploaded messages are sent on SWIFTNet automatically after
upload of the CSV. If the AutoClient token is not configured for auto-approval, then
the messages uploaded from the CSV must first be approved in the Outbox of
Alliance Lite before they are sent - refer to the Alliance Lite User Guide for more
information.
Note
1.2
CSV File Format
Structure of the CSV file
The following list provides information about the structure of the CSV:
1.3
•
All fields in the upload CSV can also be entered in the Alliance Lite web interface and all
fields that can be entered in the Alliance Lite web interface can be uploaded through the
CSVs.
•
The mandatory and most used fields of the message appear in the first few columns of the
CSV file. Optional fields that are often left empty appear in the last columns in the CSV file.
•
The very first column of a line in a CSV file indicates the Instruction type or Message type of
that line in the CSV. For example, a Funds Subscription Order. The columns that follow will
be interpreted based on this type.
•
More than one line can be present in the CSV. Typically (except for Funds Statements),
each line of the CSV is transformed to one SWIFT MT or MX message.
•
You can save a Microsoft Excel file in .csv format and upload this file in AutoClient. If the
Excel columns have labels (headers), Microsoft Excel saves the header row as the first row
in the CSV file. The presence of the header row in the CSV is optional.
•
Alliance Lite does not interpret a header row (if present). Therefore, you can put the header
row in your local language instead of English, for easier understanding.
•
The position (column) of a field determines how the field will be interpreted. You can leave
out the columns for optional fields on the right in the CSV files. In other words, the presence
of trailing commas is not required in the CSV file.
Guidelines for Field Input
Guidelines
•
Fields in the CSV file must be separated by commas and not by semicolons, tabs, or any
other character.
•
Lines in the CSV file are separated by end-of-line characters. Only the Windows (DOS)
•
Numbers (amounts, percentages) must be specified with a dot (.) as a decimal separator.
Commas are not allowed in decimal numbers. Thousands separators (or other digit
groupings) are not allowed with numbers in the CSV file.
•
Dates must be specified in the YYYY-MM-DD format for Funds CSV files, and in
YYYYMMDD for Securities CSV files.
Note
•
Note
19 November 2010
convention is supported for end-of-line.
If Microsoft Excel is used to produce the CSV file, then make sure that the cells
containing dates are formatted this way before saving the spreadsheet as a CSV file.
Text fields that contain commas must be surrounded by double-quote characters in the CSV
file.
If Excel is used to produce the CSV file, then Excel automatically surrounds text fields
by double quotes when doing ‘Save As’ in CSV file format. This means that in the
Excel spreadsheet, text does not need to be surrounded by double quotes).
5
Alliance Lite - 2.0
•
Text fields and codeword field entries in the CSV are not case sensitive unless specified
otherwise, and the field entries can be in either uppercase, lowercase, or mixed case. Only
a limited set of characters is supported. For Securities messages (MT), this is the SWIFT X
character set, for Funds (MX) messages, this is the Basic Latin (ASCII) character set. See
•
Multi-line text fields can either be specified with each line in a different column in the CSV
file (if the number of lines are few), or by continuous text that Alliance Lite will automatically
split into lines of fixed length (typically 35 characters per line). In all cases, the text inside a
CSV field (column, cell) cannot contain end-of-line characters (no carriage return/line feed).
•
There are many places where a party needs to be specified (settlement party, related party,
and so on). Often, it is possible to specify a party in different ways: with a BIC, with a
proprietary ID, or with a Name and Address. Therefore, for a party, there will often be
multiple columns and a ‘ID Option’ column that indicates what format is used for the Party’s
ID. The ‘ID Option’ can contain:
Appendix A for the entire list of supported characters.
−
6
empty/empty: Party ID field contains a BIC
−
BIC: Party ID field contains a BIC
−
Proprietary: Party ID field contains a Proprietary ID or proprietary code
−
xxxx (any other string): Party ID contains a proprietary ID or a code, and xxxx is the
issuer, also called Data Source Scheme (DSS), of that proprietary ID.
•
Senders do not need to be specified in the CSV file, because the AutoClient automatically
knows who the Sender is. The AutoClient can recognise (from its USB security token) who
the Sender is, and digitally signs the files with the token to identify the Sender. The
messages that are derived from this file are then automatically sent with the BIC or DN of
the sending customer.
•
Currency: a currency field is not allowed to contain a value unless the corresponding
amount field also contains a value, and vice versa.
•
Multiple instances of a field: some fields or groups of fields can be repeated more than
once. In these cases, the second instance of the (group of) fields is not allowed to contain a
value if the first instance does not contain a value. Example: in a Funds Order, the ‘Related
Party2’ fields can not contain values unless there are values in the ‘Related Party1’ fields.
•
Codewords: many fields must contain a codeword. For fields that correspond to fields in
MT/MX messages, the allowed codewords are identical to the allowed codewords
documented in the SWIFTStandards. To increase readability, this CSV description does not
explicitly mention rarely used codewords, though these are also allowed.
•
For Funds (MX) messages, the following elements are not present in the CSV files, since
they are automatically set by Alliance Lite:
−
MessageIdentification: automatically filled in by Alliance Lite, with a unique message
Identification and with the CreationDateTime set to the datetime of entering the
message into Alliance Lite.
−
PhysicalDeliveryIndicator: automatically set to ‘false’ (=no physical delivery) by
Alliance Lite (in orders setr.004, setr.010, setr.013).
−
PartiallyExecutedIndicator: automatically set to ‘false’ (=completely executed) by
Alliance Lite (in confirmations setr.006, setr.012, setr.015).
−
TaxExemptionIndicator: if any of the Tax fields is used, then TaxExemptionIndicator
is automatically set to ‘false’ (=not exempt from tax) by Alliance Lite (in confirmations
setr.006, setr.012, setr.015).
−
StatementUpdateTypeAsCode: automatically set to ‘COMP’ (=complete) by Alliance
Lite (in statement messages semt.002, semt.003).
−
FungibleIndicator: automatically set to ‘false’ (=securities in the account are not
fungible) by Alliance Lite (in statement messages semt.002, semt.003).
−
PriceDetails: automatically set to ‘MRKT’ (=market price) by Alliance Lite (in
statement messages semt.002, semt.003).
CSV File Upload
Uploading Funds Orders CSV Files
2
Uploading Funds Orders CSV Files
The Funds Orders CSV allows you to upload the following fund messages:
•
Subscription Order (setr.010)
•
Redemption Order (setr.004)
•
Switch Order (setr.013)
A Subscription, or Redemption Order is one line in the CSV file. There can be more than one line in the CSV, each line leading to one
Subscription/Redemption message. Combining multiple lines, that is, putting multiple orders into a single Subscription or Redemption
message is not supported by Alliance Lite.
Each Switch Order is represented on two lines in the CSV file: the Redemption Leg on one line, and the Subscription Leg on another line. Both
lines together are put in one Switch Order message. Complex Switch Orders such as multi-legged switches (one-to-many, many-to-one,
many-to-many), that is, more than 2 legs for 1 Switch Order, are not supported by Alliance Lite. In other words, Alliance Lite supports simple
(one-to-one) switches.
If a switch leg is present, the other leg must be present as well in the same CSV file, on the line preceding or following the first leg, and with
the same Order Reference. The order of the legs in the CSV is not important (that is, the Subscription Leg can be first, then Redemption Leg
or vice versa).
If a field can be present in either the Subscription or the Redemption leg of a switch, and if the field is mapped to the SAME Xpath, only the
value from the lowest row in the CSV is considered. This might lead to a situation whereby the first row specifies a value, and the next row
overwrites it with another. An empty value can overwrite a non-empty value.
In the table below, each field (column) of the CSV file is described, with its position in the CSV, name, content, and some comments. How the
field will be transformed (encoded) into the XML message is also specified.
Note
19 November 2010
Field Type contains Mandatory (M), Optional (O), or Conditional (C) values. M means that the field cannot be left empty and is a
mandatory field in the CSV. O means that the field can be left empty in the CSV. C means mandatory under certain conditions.
The conditions are described in the comment column.
7
Alliance Lite - 2.0
How to enter details in the Funds Orders CSV files fields
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
Required
Order
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
MX
setr.010.001.03
SubscriptionOrde
rV03
MX
setr.004.001.03
RedemptionOrder
V03
MX
setr.013.001.03
SwitchOrderV03
MX
setr.013.001.03
SwitchOrderV03
1.
Instruction
Type
M
Determines which
message type is to be
created. Possible
values:
• Subscription
• Redemption
• SwitchRLeg
• SwitchSLeg
Switches are
represented
by two lines,
one for the
redemption
leg
(SwitchRLeg),
and one for
the
subscription
leg
(SwitchSLeg)
Request Type in the
SWIFTNet InterAct
message header =
setr.010.001.03
Request Type in the
SWIFTNet InterAct
message header =
setr.004.001.03
Request Type in
the SWIFTNet
InterAct message
header =
setr.013.001.03
Request Type in
the SWIFTNet
InterAct message
header =
setr.013.001.03
2.
Receiver
M
Destination where the
order message is sent
to. Not to be confused
with the receiver of the
Financial Instrument.
Possible values :
1
• a mnemonic code
defined by the
customer on
Alliance Lite, or
• a DN (Distinguished
Name on
SWIFTNet) .
Maximum length for a
mnemonic code
(institution code) is 8
The DN is
derived from
the bankcode.
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
1
8
Such a mnemonic code is defined by an Administrator, under Admin > Setup > Bank/Institution > Add. The ‘Bank Code’field on that screen is the mnemonic code.
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
In theory, the
OrdrRef
message item
in an MX
allows up to
35 characters,
but market
practice and
Alliance Lite
restricts this to
maximum 16
to ensure
interoperability
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/OrdrR
ef
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/OrdrRef
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/OrdrRef
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/OrdrRef
characters.
Maximum length for DN
is 100 characters. For
example, o=bankbebb,
o=swift. A DN contains
commas.
3.
Order
Reference
M
The unique reference
for the transaction
assigned by the
ordering party (sender).
Must be unique across
all order transactions
from that ordering party
to the same Receiver.
Maximum 16
characters.
4.
Switch Leg ID
O
Uniquely identifies the
leg within a switch.
Optional for SwitchSLeg
or SwitchRLeg. Not
allowed for Subscription
or Redemption.
Maximum 35
characters.
Not allowed in
Subscription
Not allowed in
Redemption
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/LegId
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/LegI
d
5.
Account
Number
M
Investment account
owned by the ordering
party, impacted by this
order.
Maximum 35
characters.
/Document/SbcptOr
drV03/MltplOrdrDtls/
InvstmtAcctDtls/Acc
tId/Prtry/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
vstmtAcctDtls/AcctId
/Prtry/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/InvstmtAcctDt
ls/AcctId/Prtry/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/InvstmtAcctDtls/
AcctId/Prtry/Id
6.
Financial
Instrument
(ISIN)
M
The investment fund,
identified by an ISIN
(International Securities
Identification Number).
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/FinInst
rmDtls/Id/ISIN
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/FinInstrm
Dtls/Id/ISIN
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/FinInstrmDtls/Id/IS
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmDtls/Id/ISIN
19 November 2010
ISINs with a
typing mistake
will not pass
because the
9
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
Starts with a 2 character
country code followed
by 10 characters.
last character
of an ISIN is a
checkdigit,
and Alliance
Lite verifies
this checkdigit.
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
IN
7.
Order
Quantity Type
M
Possible values :
• Units
• Net
• Gross
• Pctg
Pctq (percent) is only
allowed if Instruction
Type is Redemption or
SwitchRLeg and not
allowed if Instruction
Type is Subscription.
This column is
not allowed for
a Switch
Order –
Subscription
Leg
Determines next
field's mapping
Determines next
field's mapping
Not allowed in
SwitchSLeg
Determines next
field's mapping
8.
Order
Quantity
M
Contains a decimal
number that is either :
• a cash amount
value (if Order
Quantity Type is Net
or Gross)
• a number of units (if
Order Quantity Type
is Units), or
• a percentage of the
holding to be
redeemed (if Order
Quantity Type is
Pctq)
Decimal number with a
dot ‘.’ as decimal
separator, and without
thousands separators.
No commas. For
example, 12345.67 and
This column is
not allowed for
a Switch
Order –
Subscription
Leg
If Units:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/UnitsN
b/Unit
If Net:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/NetAm
t
If Gross:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/GrssA
mt
If Units:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/UnitsNb/
Unit
If Net:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/NetAmt
If Gross:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/GrssAmt
If Pctq :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/HldgsRe
dRate
not allowed in
SwitchSLeg
If Units:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/Units
Nb/Unit
If Net:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/NetA
mt
If Gross:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/Grss
Amt
If Pctq :
/Document/SwtchO
10
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
not 12345,67 or
12,345.67. A percentage
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/Hldgs
RedRate
is expressed as a decimal
number, for example. 7.5 is
7.5% .
9.
Order
Quantity Currency
C
Mandatory when Order
Quantity Type is Net or
Gross. Else, not
allowed.
Three character
currency code (must be
valid currency code).
XML encoding for
SwitchRLeg
This column is
not allowed for
a Switch
Order –
Subscription
Leg.
Mapped to the Ccy
attribute of either
NetAmt or GrssAmt.
For example,
:<NetAmt
Ccy="EUR">500</N
etAmt> .
If Net :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/NetAm
t/@Ccy
If Gross:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/GrssA
mt/@Ccy
Mapped to the Ccy
attribute of either
NetAmt or GrssAmt.
For example,
:<NetAmt
Ccy="EUR">500</N
etAmt> .
If Net :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/NetAmt/
@Ccy
If Gross:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/GrssAmt/
@Ccy
Not allowed in
SwitchSLeg
Mapped to the Ccy
attribute of either
NetAmt or
GrssAmt. For
example, :<NetAmt
Ccy="EUR">500</
NetAmt> .
If Net :
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/NetA
mt/@Ccy
If Gross:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/FinI
nstrmQtyChc/Grss
Amt/@Ccy
If non-empty and <=
35 characters :
/Document/SbcptOr
drV03/MltplOrdrDtls/
InvstmtAcctDtls/Acc
tNm
If non-empty and >
35 and <=350
characters:
/Document/SbcptOr
drV03/MltplOrdrDtls/
InvstmtAcctDtls/Ow
If non-empty and <=
35 characters :
/Document/RedOrdr
V03/MltplOrdrDtls/In
vstmtAcctDtls/AcctN
m
If non-empty and >
35 and <=350
characters:
/Document/RedOrdr
V03/MltplOrdrDtls/In
vstmtAcctDtls/OwnrI
If non-empty and
<= 35 characters :
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/InvstmtAcctDt
ls/AcctNm
If non-empty and >
35 and <=350
characters:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/InvstmtAcctDt
If non-empty and
<= 35 characters :
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/InvstmtAcctDtls/
AcctNm
If non-empty and >
35 and <=350
characters:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/InvstmtAcctDtls/
Optional
Order Details
10.
Account
Name
19 November 2010
O
Name of the investment
account specified in
Account Number.
If empty, no Account
Name in message
(default)
If <=35 characters, map
to Account Name.
Ignored in most
markets.
If >35 and <= 350
characters, map to
11
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
Owner ID Name (not
accepted in most
markets, only used in
Australia).
Maximum 350
characters.
nrId/NmAndAdr/Nm
d/NmAndAdr/Nm
ls/OwnrId/NmAndA
dr/Nm
OwnrId/NmAndAdr/
Nm
11.
Sub Account
Number
O
Maximum 35 characters
/Document/SbcptOr
drV03/MltplOrdrDtls/
InvstmtAcctDtls/Sub
AcctDtls/Id/Prtry/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
vstmtAcctDtls/SubAc
ctDtls/Id/Prtry/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/InvstmtAcctDt
ls/SubAcctDtls/Id/P
rtry/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/InvstmtAcctDtls/
SubAcctDtls/Id/Prtr
y/Id
12.
Sub Account
Characteristic
O
Maximum 35 characters
/Document/SbcptOr
drV03/MltplOrdrDtls/
InvstmtAcctDtls/Sub
AcctDtls/Chrtc
/Document/RedOrdr
V03/MltplOrdrDtls/In
vstmtAcctDtls/SubAc
ctDtls/Chrtc
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/InvstmtAcctDt
ls/SubAcctDtls/Chr
tc
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/InvstmtAcctDtls/
SubAcctDtls/Chrtc
13.
Requested
Settlement
Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ReqdS
ttlmCcy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ReqdSttl
mCcy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ReqdSttlmCcy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Req
dSttlmCcy
14.
Requested
NAV
Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ReqdN
AVCcy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ReqdNA
VCcy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ReqdNAVCcy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Req
dNAVCcy
15.
Income
Preference
O
Dividend option chosen
by the account owner
based on the options
offered in the
prospectus.
Four character
codeword. Possible
values :
• CASH
• DRIP
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/IncmPr
ef
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/IncmPref
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/IncmPref
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Inc
mPref
16.
Master
Reference
O
Maximum 35 characters
/Document/SbcptOr
drV03/MltplOrdrDtls/
/Document/RedOrdr
V03/MltplOrdrDtls/M
/Document/Swtch
OrdrV03/SwtchOrd
/Document/SwtchO
rdrV03/SwtchOrdrD
12
CASH =
distribution in
cash
DRIP =
Reinvestment
of proceeds
into securities
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
17.
Field Name
Place of
Trade
Field
Type
O
Input and Possible
Values
Comment
Ignored in most
markets. Included for
French market.
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
MstrRef
strRef
rDtls/MstrRef
tls/MstrRef
/Document/SbcptOr
drV03/MltplOrdrDtls/
PlcOfTrad/Ctry
/Document/RedOrdr
V03/MltplOrdrDtls/Pl
cOfTrad/Ctry
Not allowed in
Switch
Not allowed in
Switch
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/OrdrTp
/OrdrTp
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/OrdrTp/O
rdrTp
Not allowed in
Switch
Not allowed in
Switch
Two character country
code
18.
Order Type
O
Four character
codeword. Possible
values :
• BEDB
• INVP
• PREA
• RDIV
• RGSV
• STAF
19.
Requested
Future Trade
Date
O
Not accepted in most
markets. Included for
Australian market .
Date in YYYY-MM-DD
format.
/Document/SbcptOr
drV03/MltplOrdrDtls/
ReqdFutrTradDt
/Document/RedOrdr
V03/MltplOrdrDtls/R
eqdFutrTradDt
Not allowed in
Switch
Not allowed in
Switch
C
Place where settlement
takes place. Must be
provided if any of the
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/SttlmA
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/SttlmAnd
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Sttl
BEDB = Bed
and Breakfast
INVP =
Investment
Plan
PREA = Pre
Advice
RDIV =
Reinvestment
of Dividend
RGSV =
Regular
Savings Plan
STAF = Staff
Order
Optional
Settlement
Details
20.
Place of
Settlement
19 November 2010
13
Alliance Lite - 2.0
CSV
Colu
mn
21.
Field Name
Settlement
Party - ID
Option
Field
Type
O
Input and Possible
Values
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
Settlement Party details
(field 21 to 23) are
used.
BIC (8 or 11
characters).
ndCtdyDtls/SttlmPlc
/BICOrBEI
CtdyDtls/SttlmPlc/BI
COrBEI
/SttlmAndCtdyDtls/
SttlmPlc/BICOrBEI
mAndCtdyDtls/Sttl
mPlc/BICOrBEI
Determines what type of
ID is given in the next
field. Possible values:
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then xxxxx
is mapped to:
If xxxxx , then xxxxx
is mapped to:
If xxxxx , then
xxxxx is mapped to
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/SttlmA
ndCtdyDtls/RcvgSd
Dtls/RcvgAgtDtls/Pt
yId/PrtryId/Issr
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/SttlmAnd
CtdyDtls/DlvrgSdDtl
s/DlvrgAgtDtls/PtyId/
PrtryId/Issr
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgA
gtDtls/PtyId/PrtryId
/Issr
If xxxxx , then
xxxxx is mapped
to:
If BIC:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/SttlmA
ndCtdyDtls/RcvgSd
Dtls/RcvgAgtDtls/Pt
yId/BICOrBEI
If Proprietary ID:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/SttlmA
ndCtdyDtls/RcvgSd
Dtls/RcvgAgtDtls/Pt
yId/PrtryId/Id
If BIC:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/SttlmAnd
CtdyDtls/DlvrgSdDtl
s/DlvrgAgtDtls/PtyId/
BICOrBEI
If Proprietary ID:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/SttlmAnd
CtdyDtls/DlvrgSdDtl
s/DlvrgAgtDtls/PtyId/
PrtryId/Id
If BIC:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgA
gtDtls/PtyId/BICOr
BEI
If Proprietary ID:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgA
gtDtls/PtyId/PrtryId
/Id
If BIC:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Sttl
mAndCtdyDtls/Dlvr
gSdDtls/DlvrgAgtDt
ls/PtyId/BICOrBEI
If Proprietary ID:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Sttl
mAndCtdyDtls/Dlvr
gSdDtls/DlvrgAgtDt
ls/PtyId/PrtryId/Id
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/SttlmA
ndCtdyDtls/RcvgSd
Dtls/RcvgAgtDtls/Ac
ctId/Prtry/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/SttlmAnd
CtdyDtls/DlvrgSdDtl
s/DlvrgAgtDtls/AcctI
d/Prtry/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgA
gtDtls/AcctId/Prtry/
Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Sttl
mAndCtdyDtls/Dlvr
gSdDtls/DlvrgAgtDt
ls/AcctId/Prtry/Id
22.
Settlement
Party - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(maximum 35
characters)
23.
Settlement
Party –
Account
O
Account Number.
Maximum 35
characters.
14
Comment
For a
Subscription
or Switch
Subscription
Leg, the
Settlement
Party is the
Receiving
Agent, for a
Redemption or
Switch
Redemption
Leg it is the
Delivering
Agent.
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Sttl
mAndCtdyDtls/Dlvr
gSdDtls/DlvrgAgtDt
ls/PtyId/PrtryId/Issr
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
O
Four character
codeword. Possible
values:
• CONC
• DIST
• FMCO
• INTR
• REGI
• TRAG
• TRAN
• UCL1
• UCL2
Or, any other text
(maximum 350
characters)
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
If codeword :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/Role
If codeword :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/Role
If codeword :
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/R
ole
If codeword :
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Role
Else:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/XtndedRole
Else:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/XtndedRole
Else:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/Xt
ndedRole
Else:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Xtnd
edRole
Optional
Repetitive
Fields – 1st
occurrence
24.
Related
Party1 – Role
CONC =
Concentrator
DIST =
Distributor
FMCO = Fund
Management
Company
INTR =
Intermediary
REGI =
Registrar
TRAG =
Transfer
Agent
TRAN =
Transmitting
Agent
UCL1 =
Underlying
Client of the
intermediary
= Underlying
Client 2 of the
intermediary
If it’s any other
string, then it’s
a bilaterally
agreed role
description,
mapped to
ExtendedRole
instead of
19 November 2010
15
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
If xxxxx, then xxxxx
is mapped to :
If xxxxx, then xxxxx
is mapped to :
If xxxxx, then xxxxx
is mapped to :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/Id/PrtryId/Issr
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/Id/PrtryId/Issr
If xxxxx, then
xxxxx is mapped
to:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/Id
/PrtryId/Issr
If BIC:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/Id/BICOrBEI
If Proprietary ID:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/Id/PrtryId/Id
If BIC:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/Id/BICOrBEI
If Proprietary ID:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/Id/PrtryId/Id
If BIC:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/Id
/BICOrBEI
If Proprietary ID:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/Id
/PrtryId/Id
If BIC:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Id/BI
COrBEI
If Proprietary ID:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Id/Pr
tryId/Id
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls/Acct/Id/Prtry/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls/Acct/Id/Prtry/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls/A
cct/Id/Prtry/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Acct/
Id/Prtry/Id
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls/Tp
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls/
Tp
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls/Tp
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls/Tp
Role
25.
Related
Party1 - ID
Option
O
26.
Related
Party1 - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(maximum 35
characters)
27.
Related
Party1 –
Account
O
Account Number.
Maximum 35 characters
28.
Charge1 Type
O
Four character
codeword. Possible
values :
• BEND
• BRKF
• DISC
• FEND
• INIT
• SWIT
• UCIC
16
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If this field has
a value, then
‘Related
Party1 – Role’
must also
have a value
BEND = Back
End Load
(charge paid
at redemption
time)
BRKF =
Brokerage
Fee
DISC =
Discount (on
standard
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls/Id/Pr
tryId/Issr
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
Or, another codeword
from the SWIFT
Standard MX Charge
Type 1 Code value.
charge)
FEND = Front
End Load
(charge paid
at subscription
time)
INIT = Initial
(charge paid
at the first
subscription)
SWIT = Switch
(Charge
related to a
switch
transaction)
UCIC = UCITS
Commission
(charge paid
at subscription
and
redemption)
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
29.
Charge1 Amount
O
For charges, either
amount or percentage
value, but not both. Can
have a decimal number.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls/Amt
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls/
Amt
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls/Amt
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls/Amt
30.
Charge1 Currency
O
Three character
currency code (must be
valid currency code).
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls/Amt/@Ccy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls/
Amt/@Ccy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls/Amt/@C
cy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls/Amt/@Ccy
31.
Charge1 –
Percentage
O
Decimal number
expressing a
percentage, for
example, 7.0 is 7%.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls/Rate
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls/
Rate
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls/Rate
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls/Rate
32.
Commission1
- Type
O
Four character
codeword. Possible
values :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
19 November 2010
BEND = Back
End Load
(commission
17
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
•
•
•
BEND
CDPL
FEND
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
at redemption
time)
CDPL =
Commission
de Placement
(cash due to
an
intermediary)
FEND = Front
End Load
(commission
at subscription
time)
nDtls/Tp
Dtls/Tp
/ComssnDtls/Tp
mssnDtls/Tp
33.
Commission1
- Amount
O
For Commissions,
either Amount or
Percentage value, or
both, can have a value
Decimal number
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/Amt
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/Amt
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/Amt
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/Amt
34.
Commission1
- Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/Amt/@Ccy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/Amt/@Ccy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/Amt/
@Ccy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/Amt/@Cc
y
35.
Commission1
- Percentage
O
Decimal number
expressing a
percentage, for
examples, 7.0 is 7%.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/Rate
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/Rate
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/Rate
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/Rate
36.
Commission1
commercial
agreement
reference
O
Maximum 35 characters
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/ComrclAgrmt
Ref
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/ComrclAgrmtRe
f
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/Comr
clAgrmtRef
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/ComrclA
grmtRef
37.
Commission1
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
If xxxxx , then xxxxx
is mapped to :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
If xxxxx , then
xxxxx is mapped to
:
/Document/Swtch
OrdrV03/SwtchOrd
If xxxxx , then
xxxxx is mapped to
:
/Document/SwtchO
rdrV03/SwtchOrdrD
18
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
38.
Field Name
Commission1
Recipient - ID
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
• Proprietary
• xxxx (any other string)
– interpreted as the
Issuer of a Proprietary
ID
nDtls/RcptId/PrtryId/
Issr
Dtls/RcptId/PrtryId/Is
sr
rDtls/SbcptLegDtls
/ComssnDtls/RcptI
d/PrtryId/Issr
tls/RedLegDtls/Co
mssnDtls/RcptId/Pr
tryId/Issr
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(maximum 35
characters)
If BIC :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/RcptId/BICOr
BEI
If Proprietary ID:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls/RcptId/PrtryId/
Id
If BIC :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/RcptId/BICOrBE
I
If Proprietary ID:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls/RcptId/PrtryId/Id
If BIC :
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/RcptI
d/BICOrBEI
If Proprietary ID:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls/RcptI
d/PrtryId/Id
If BIC :
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/RcptId/BI
COrBEI
If Proprietary ID:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls/RcptId/Pr
tryId/Id
O
Four character
codeword. Possible
values :
• CONC
• DIST
• FMCO
• INTR
• REGI
• TRAG
• TRAN
• UCL1
If codeword :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/Role
If codeword :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/Role
If codeword :
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/Role
If codeword :
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/R
ole
Else:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/XtndedRole
Else:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/XtndedRole
Else:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/XtndedRole
Else:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/Xt
ndedRole
Optional
Repetitive
Fields – 2nd
2
occurrence
39.
2
Related
Party2 – Role
CONC =
Concentrator
DIST =
Distributor
FMCO = Fund
Management
Company
INTR =
Intermediary
REGI =
Registrar
The presence of the 2nd occurrence requires as pre-requisite the presence of the related 1st occurrence. If not, the uploaded CSV file will be rejected.
19 November 2010
19
Alliance Lite - 2.0
CSV
Colu
mn
40.
41.
20
Field Name
Field
Type
Related
Party2 - ID
Option
O
Related
O
Input and Possible
Values
Comment
• UCL2
Or, any other string
(max 350 characters)
TRAG =
Transfer
Agent
TRAN =
Transmitting
Agent
UCL1 =
Underlying
Client of the
intermediary
UCL2 =
Underlying
Client 2 of the
intermediary
If it is any
other string,
then it’s
interpreted as
a bilaterally
agreed role
description,
mapped to
ExtendedRole
instead of
Role.
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If ID Option = empty or
If this field has
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/Id/PrtryId/Is
sr
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/Id/PrtryId/Issr
If xxxxx , then
xxxxx is mapped to
:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/Id/PrtryId/Issr
If xxxxx , then
xxxxx is mapped to
:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/Id/
PrtryId/Issr
If BIC :
If BIC :
If BIC :
If BIC :
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Party2 - ID
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
a value, then
‘Related
Party2 – Role’
must also
have a value
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/Id/BICOrBE
I
If Proprietary ID:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/Id/PrtryId/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/Id/BICOrBEI
If Proprietary ID:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/Id/PrtryId/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/Id/BICOrBEI
If Proprietary ID:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/Id/PrtryId/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/Id/
BICOrBEI
If Proprietary ID:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/Id/
PrtryId/Id
42.
Related
Party2 –
Account
O
Account number
Maximum 35 characters
Requires
column 41 to
be present
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/RltdPt
yDtls[2]/Acct/Id/Prtry
/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/RltdPtyDt
ls[2]/Acct/Id/Prtry/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/RltdPtyDtls[2]
/Acct/Id/Prtry/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RltdPtyDtls[2]/A
cct/Id/Prtry/Id
43.
Charge2 Type
O
Four character
codeword. Possible
values :
• BEND
• BRKF
• DISC
• FEND
• INIT
• SWIT
• UCIC
Or, another codeword
from the SWIFT
Standard MX
ChargeType1 Code
value.
BEND = Back
End Load
(charge paid
at redemption
time)
BRKF =
Brokerage
Fee
DISC =
Discount (on
standard
charge)
FEND = Front
End Load
(charge paid
at
subscription
time)
INIT = Initial
(charge paid
at the first
subscription)
SWIT =
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls[2]/Tp
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls[
2]/Tp
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls[2]/Tp
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls[2]/Tp
19 November 2010
21
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
Switch
(Charge
related to a
switch
transaction)
UCIC =
UCITS
Commission
(charge paid
at
subscription
and
redemption)
44.
Charge2 Amount
O
For Charges, either
Amount or Percentage
but not both, can have a
value
Decimal number
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls[2]/Amt
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls[
2]/Amt
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls[2]/Amt
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls[2]/Amt
45.
Charge2 Currency
O
Three character
currency code (must be
a valid currency code).
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls[2]/Amt/@Ccy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls[
2]/Amt/@Ccy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls[2]/Amt/
@Ccy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls[2]/Amt/@Ccy
46.
Charge2 Percentage
O
Decimal number
expressing a
percentage, for
example, 7.0 is 7%.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/ChrgDt
ls[2]/Rate
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/ChrgDtls[
2]/Rate
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ChrgDtls[2]/Rate
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Chr
gDtls[2]/Rate
47.
Commission2
- Type
O
Four character
codeword. Possible
values :
• BEND
• CDPL
• FEND
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/Tp
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/Tp
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Tp
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/Tp
22
BEND = Back
End Load
(commission
at redemption
time)
CDPL =
Commission
de Placement
(cash due to
an
CSV File Upload
Uploading Funds Orders CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
intermediary)
FEND = Front
End Load
(commission
at subscription
time)
48.
Commission2
- Amount
O
For Commissions,
either Amount or
Percentage, or both,
can have a value.
Decimal number.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/Amt
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/Amt
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/A
mt
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/Amt
49.
Commission2
- Currency
O
Three character
currency code (must be
a valid currency code).
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/Amt/@Ccy
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/Amt/@Ccy
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/A
mt/@Ccy
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/Amt/@
Ccy
50.
Commission2
- Percentage
O
Decimal number
expressing a
percentage, for
example, 7.0 is 7%.
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/Rate
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/Rate
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Ra
te
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/Rate
51.
Commission2
commercial
reference
O
Maximum 35 characters
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/ComrclAgr
mtRef
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/ComrclAgrmt
Ref
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Co
mrclAgrmtRef
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/Comrcl
AgrmtRef
52.
Commission2
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other string)
– interpreted as the
Issuer of a Proprietary
ID
If xxxxx , then xxxxx
is mapped to :
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/RcptId/Prtry
Id/Issr
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/RcptId/PrtryId
/Issr
If xxxxx , then
xxxxx is mapped to
:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Rc
ptId/PrtryId/Issr
If xxxxx , then
xxxxx is mapped to
:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/RcptId/
PrtryId/Issr
53.
Commission2
O
If ID Option = empty or
If BIC :
If BIC :
If BIC :
If BIC :
19 November 2010
23
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Recipient - ID
Field
Type
Input and Possible
Values
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(Maximum 35
characters)
Comment
XML encoding for
Subscription
XML encoding for
Redemption
XML encoding for
SwitchSLeg
XML encoding for
SwitchRLeg
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/RcptId/BIC
OrBEI
If Proprietary ID:
/Document/SbcptOr
drV03/MltplOrdrDtls/
IndvOrdrDtls/Comss
nDtls[2]/RcptId/Prtry
Id/Id
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/RcptId/BICOr
BEI
If Proprietary ID:
/Document/RedOrdr
V03/MltplOrdrDtls/In
dvOrdrDtls/Comssn
Dtls[2]/RcptId/PrtryId
/Id
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Rc
ptId/BICOrBEI
If Proprietary ID:
/Document/Swtch
OrdrV03/SwtchOrd
rDtls/SbcptLegDtls
/ComssnDtls[2]/Rc
ptId/PrtryId/Id
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/RcptId/
BICOrBEI
If Proprietary ID:
/Document/SwtchO
rdrV03/SwtchOrdrD
tls/RedLegDtls/Co
mssnDtls[2]/RcptId/
PrtryId/Id
With the Alliance Lite web interface, you can also download Funds Orders, in an Excel format similar to the above CSV upload format. This is
through the Funds Management Export Report function. See Alliance Lite User Guide: “Export Reports” for details.
This produces an Excel spreadsheet that:
24
•
starts with the same columns as in the above CSV upload format. Codewords are expanded to human readable text, for example,. this
report will say “Actual” instead of “ACTU”.
•
at the end (at the right), additional columns are shown compared to the above CSV upload format:
- Message Id: this is the unique Message ID element as present in the MX message
- MX Type: for example, setr.004
- Tnum: the unique number allocated by Alliance Lite to this instruction
- Status: the status of the message as known to Alliance Lite (for example, Waiting Approval, Sent, Received …)
- Status Received Date/Time: the date&time when a Status message was received from the counterparty (if any)
- Template: the name of the template used to construct the message (if any)
- Sender’s BIC: the BIC code of the sender of the message
- Creation Date/Time: the CreationDateTime element as present in the MX message
- Internal memo: optional text added by operator that entered the message on the Alliance Lite GUI (if any)
- a number of columns that present the audit trail of the message:
- by who and when the messages was entered, modified, approved , unapproved, deleted
- rejection reason and timestamp, released timestamp, ack received timestamp, confirm received timestamp
The ‘ack received timestamp’ is the time that SWIFTNet accepted the message.
For sent messages, this is the SnFInputTime.
CSV File Upload
Uploading Funds Orders CSV Files
For received messages, this is currently shown with a time that very closely approximates the SnFInputTime
(derived from the swiftref , which is at most a few seconds earlier than the SnFInputTime).
All audit trail timestamps are exported in the local time zone of the user. “
19 November 2010
25
Alliance Lite - 2.0
3
Uploading Funds Order Status CSV Files
The Funds Order Status CSV allows you to upload Funds Order Status (setr.016) fund message.
Note
Field Type contains Mandatory (M), Optional (O), or Conditional (C) values. M means that the field cannot be left empty and is a
mandatory field in the CSV. O means that the field can be left empty in the CSV. C means mandatory under certain conditions.
The conditions are described in the comment column.
How to enter details in the Funds Order Status CSV files fields
CSV
Colu
mn
Field Name
Field
Type
Input and Possible Values
Comment
Required Status
1.
Instruction Type
2.
Receiver
3
26
M
M
XML encoding for
XML encoding for
Status
StatusSwitch
MX setr.016.001.03
OrderInstructionStatus
ReportV03
MX setr.016.001.03
OrderInstructionStatus
ReportV03
Determines which message type
is to be created. Possible values:
• Status
• StatusSwitch
Status is used to send the status
for a Redemption or a
Subscription. StatusSwitch is
used to send the status for a
Switch (both legs).
Status and StstusSwitch both
map to setr.016.
For StatusSwitch a different XML
encoding than for Status is
applicable.
Request Type in the
SWIFTNet InterAct
message header =
Request Type in the
SWIFTNet InterAct
message header =
setr.016.001.03
setr.016.001.03
Destination where the
confirmation message is sent to.
Typically the party that sent the
order. Not to be confused with
the receiver of the Financial
Instrument.
Possible values :
3
• a mnemonic code as defined
by the customer on Alliance
Lite, or
The DN is derived from the
bankcode.
Responder DN in the
SWIFTNet InterAct
message header
Responder DN in the
SWIFTNet InterAct
message header
Such a mnemonic code is defined by an Administrator, under Admin > Setup > Bank/Institution > Add. The ‘Bank Code’field on that screen is the mnemonic code.
CSV File Upload
Uploading Funds Order Status CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible Values
Comment
XML encoding for
XML encoding for
Status
StatusSwitch
a DN (Distinguished Name
on SWIFTNet)
Max length for mnemonic code is
8 characters.
Maximum length for DN is 100
characters. For example,
o=bankbebb, o=swift. A DN
contains commas.
•
3.
Order Reference
M
The unique reference for the
order assigned by the ordering
party (distributor). Repeated here
from the order.
Maximum 16 characters.
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
OrdrRef
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/OrdrRef
4.
Deal Reference
O
The unique reference for the
order assigned by the executing
party.
Maximum 35 characters.
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
DealRef
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/DealRef
5.
Switch Rejected Leg
Type
O
The switch leg that is in error .
Possible Values :
• REDEMP
• SUBSCRIPT
Only allowed when Status =
Reject and Instruction Type =
StatusSwitch (if both switch legs
are in error, then this field is not
required)
Not allowed for Status
Determines next field’s
mapping
6.
Switch Rejected Leg
ID
O
The Leg ID of the switch leg that
is in error – only allowed when
Status = Reject and Instruction
Type = StatusSwitch (if both
switch legs are in error, then this
field is not required)
Maximum 35 characters
Not allowed for Status
If RLeg :
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/LegInf/RedLegId
If SLeg :
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/LegInf/SbcptLegId
7.
Status
M
Indicates if the order has been
If Accepted:
If Accepted:
19 November 2010
Redemp = Redemption Leg
Subscript = Subscription Leg
27
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible Values
Comment
XML encoding for
XML encoding for
Status
StatusSwitch
accepted or rejected for further
processing. Possible values :
• Accepted
• Rejected
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Sts = PACK
If Rejected:
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Rjctd is present at least
once and indicates a
reason for rejection (see
col. 10 and 11)
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Sts = PACK
If Rejected:
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Rjctd is present at
least once and indicates
a reason for rejection
(see col. 10 and 11)
8.
Expected Trade Date
O
Only allowed when Status =
Accepted
Format: YYYY-MM-DD
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
NewDtls/XpctdTradDtTm
/Dt
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/NewDtls/XpctdTradDt
Tm/Dt
9.
Expected Cash
Settlement Date
O
Only allowed when Status =
Accepted
Format: YYYY-MM-DD
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
NewDtls/XpctdCshSttlm
Dt
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/NewDtls/XpctdCshSttl
mDt
10.
Reject Reason1
C
Four character codeword that
indicates the reason for rejection.
Possible values :
• ADEA
• BLCA
• BLTR
• CASH
• CUTO
• DDAT
• DEPT
• DFOR
• DLVY
• DMON
• DOCC
• DQUA
• DSEC
• DTRD
If codeword :
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Rjctd/Rsn
If not codeword (text):
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Rjctd/XtndedRsn
If codeword :
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Rjctd/Rsn
If not codeword (text):
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Rjctd/XtndedRsn
28
ADEA=After Deadline
BLCA=Account Blocked for
Corporate Action
BLTR=Account Blocked for
Transfer
CASH=Invalid Cash Account
CUTO=Cut Off Time
DDAT=Settlement Date
DEPT=Settlement Place
DFOR=Invalid Security Form
DLVY=Physical Delivery
Impossible
DMON=Invalid Settlement
Amount
DOCC=Account Blocked
Missing Documents
DQUA=Financial Instrument
CSV File Upload
Uploading Funds Order Status CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible Values
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
19 November 2010
FEEE
ICAG
ICTR
IDDB
IDNA
IEXE
INTE
IOTP
IPAC
IPAY
ISAF
IVAG
LATE
MONY
NCRR
NRGM
NSLA
ORRF
PHYS
PLCE
POIN
RTGS
SAFE
SECU
SETR
SHIG
SLOW
UDCY
ULNK
UNAV
UPAY
URSC
Comment
XML encoding for
XML encoding for
Status
StatusSwitch
Quantity
DSEC=Financial Instrument
Identification
DTRD=Trade Date
FEEE=Fee or Commission
ICAG=Delivering Agent
ICTR=Invalid Credit Transfer
IDDB=Direct Debit
IDNA=Financial Instrument
Identification and Name
IEXE=Subscriber or Redeemer
INTE=Intermediary
IOTP=Invalid Order Type
IPAC=Instructing Party Not
Allowed for Account
IPAY=Payment Card
ISAF=Safekeeping Place
IVAG=Receiving Agent
LATE=Too Late
MONY=Not Enough Cash
NCRR=Settlement Amount
Currency
NRGM=No Cancellation Match
NSLA=Not Compliant With
SLA
ORRF=Duplicate Order
Reference
PHYS=Physical Settlement
PLCE=Place of Trade
POIN=Different Valuation
Points
RTGS=RTGS System
29
Alliance Lite - 2.0
CSV
Colu
mn
11.
30
Field Name
Reject Reason2
Field
Type
O
Input and Possible Values
Comment
• UWAI
Or any other text (Maximum 350
characters) to indicate the
reason for rejection.
Mandatory when Status =
Rejected. Must be empty when
Status = Accepted.
SAFE=Investment Account
SECU=Not Enough Financial
Instrument
SETR=Settlement Transaction
SHIG=Too High Units or Amount
to Subscribe
SLOW=Too Low Units orAmount
To Subscribe
UDCY=Unaccepted Deal
Currency
ULNK=Unknown Linkages
Reference
UNAV=Unaccepted NAV
Currency
UPAY=Unaccepted Payment
Method
URSC=Unaccepted Requested
Settlement Currency
UWAI=Unaccepted Commission
Waiving
Four character codeword that
indicates the reason for rejection.
Possible values: same as for
Reject Reason 1.
Or any other text (Maximum 350
characters) to indicate the
reason for rejection.
Must be empty when Status is
Accepted or when Rejected
Reason1 is empty.
Same as Reject Reason 1
XML encoding for
XML encoding for
Status
StatusSwitch
If codeword :
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Rjctd[2]/Rsn
If not codeword (text):
/Document/OrdrInstrSts
RptV03/IndvOrdrDtlsRpt/
Rjctd[2]/XtndedRsn
If codeword :
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Rjctd[2]/Rsn
If not codeword (text):
/Document/OrdrInstrSts
RptV03/SwtchOrdrDtlsR
pt/Rjctd[2]/XtndedRsn
CSV File Upload
Uploading Funds Confirmations CSV Files
4
Uploading Funds Confirmations CSV Files
The Funds Confirmations CSV allows you to upload the following fund messages:
•
Subscription Confirmation (setr.012)
•
Redemption Confirmation (setr.006)
•
Switch Confirmation (setr.015). Each Switch Confirmation is represented by two lines: a Switch Confirmation Redemption Leg and a
Switch Confirmation Subscription Leg.
If a Switch Confirmation leg is present, the other leg must also be present in the CSV. The other leg must be present on the preceding or
following line with the same Order Reference. The order of the legs in the CSV is not important (can be Subscription Leg first, then
Redemption Leg or vice versa).
Note
Field Type contains Mandatory (M), Optional (O), or Conditional (C) values. M means that the field cannot be left empty and is a
mandatory field in the CSV. O means that the field can be left empty in the CSV. C means mandatory under certain conditions.
The conditions are described in the comment column.
How to enter details in the Funds Confirmations CSV files fields
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
Required
Conf
iguration
1.
Instruction
Type
19 November 2010
M
Determines which type
of confirmation
message is to be
created. Possible
values :
• ConfSubscription
• ConfRedemption
• ConfSwitchRLeg
• ConfSwitchSLeg
Switch
Confirmations
are
represented
by two lines,
one for the
redemption
leg
(ConfSwitchR
Leg), and one
for the
subscription
leg
(ConfSwitchS
Leg)
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
MX
setr.012.001.03
SbcptOrdrConfV0
3
MX setr.006.001.03
RedOrdrConfV03
MX setr.015.001.03
SwtchOrdrConfV03
MX setr.015.001.03
SwtchOrdrConfV03
Request Type in
the SWIFTNet
InterAct message
header =
setr.012.001.
Request Type in the
SWIFTNet InterAct
message header =
setr.006.001.03
Request Type in the
SWIFTNet InterAct
message header =
setr.015.001.03
Request Type in the
SWIFTNet InterAct
message header =
setr.015.001.03
31
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
2.
Receiver
M
Destination where the
confirmation message is
sent to. Not to be
confused with the
receiver of the Financial
Instrument.
Possible values :
4
• a mnemonic code
as defined by the
customer on
Alliance Lite, or
• a DN (Distinguished
Name on
SWIFTNet).
Max length for
mnemonic code is 8
characters.
Maximum length for DN
is 100 characters For
example, o=bankbebb,
o=swift. A DN contains
commas.
The DN is
derived from
the
bankcode,
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
Responder DN in
the SWIFTNet
InterAct message
header
3.
Order
Reference
M
The unique reference
for the transaction
assigned by the
ordering party. Must be
unique across all order
transactions from that
ordering party.
Maximum 16
characters.
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/OrdrRef
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/O
rdrRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/OrdrRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/OrdrRef
4.
Deal
Reference
M
The unique reference
for the transaction
assigned by the
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/D
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/DealRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/DealRef
4
32
Such a mnemonic code is defined by an Administrator, under Admin > Setup > Bank/Institution > Add. The ‘Bank Code’field on that screen is the mnemonic code.
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
executing party
Maximum 35
characters.
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Dtls/DealRef
ealRef
not allowed in
ConfSubscription
not allowed in
ConfRedemption
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/LegId
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
LegId
Not allowed in
ConfSubscription
Not allowed in
ConfRedemption
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/LegExctnId
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
LegExctnId
5.
Switch Leg
ID
O
Reference assigned to
the switch leg by the
ordering party. Only
allowed when
Instruction Type is
ConfSwitchSLeg or
ConfSwitchRLeg.
Maximum 35
characters.
6.
Switch
execution leg
reference
O
Reference assigned to
the switch leg by the
executing party. Only
allowed when
Instruction Type is
ConfSwitchSLeg or
ConfSwitchRLeg
Maximum 35
characters.
7.
Account
Number
M
Maximum 35 characters
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/InvstmtAc
ctDtls/AcctId/Prtry/
Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/InvstmtAcctDtls/
AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/AcctId/Prtry/Id
8.
Financial
Instrument
(ISIN)
M
The investment fund
that was ordered,
identified by an ISIN
(International Securities
Identification Number).
Starts with a 2 character
country code followed
by 10 characters.
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FinInstrmDtls/I
d/ISIN
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
inInstrmDtls/Id/ISIN
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/FinInstrmDtls/Id/IS
IN
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
FinInstrmDtls/Id/ISI
N
9.
Net Amount
O
Amount of money
(subscribed, or resulting
from redemption) after
One or both,
or none, of
Net Amount
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/N
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
19 November 2010
Should match
original order
33
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
deduction of charges,
commissions and taxes.
Decimal number
and Gross
Amount can
optionally be
specified.
Dtls/NetAmt
etAmt
s/NetAmt
NetAmt
10.
Net Amount
Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/NetAmt/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/N
etAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/NetAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
NetAmt/@Ccy
11.
Gross
Amount
O
Amount of money
(subscribed, or resulting
from redemption) before
deduction of charges,
commissions and taxes.
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/GrssAmt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/G
rssAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/GrssAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
GrssAmt
12.
Gross
Amount
Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/GrssAmt/@Cc
y
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/G
rssAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/GrssAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
GrssAmt/@Ccy
13.
Confirmed
Units
Number
M
The confirmed number
of investment fund units
subscribed or redeemed
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/UnitsNb/Unit
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/U
nitsNb/Unit
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/UnitsNb/Unit
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
UnitsNb/Unit
14.
Price Per
Unit
M
Price per unit, at which
the order was executed.
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/DealgPricDtls/
Val/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/D
ealgPricDtls/Val/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/PricDtls/Val/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
PricDtls/Val/Amt
15.
Price Per
Unit
Currency
M
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/DealgPricDtls/
Val/Amt/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/D
ealgPricDtls/Val/Amt
/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/PricDtls/Val/Amt/
@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
PricDtls/Val/Amt/@
Ccy
16.
Price Type
M
Four character
codeword. Possible
values:
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/D
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
34
ACTU=Actual
BIDE=Bid
NAVL=Net
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
•
•
•
•
ACTU
BIDE
NAVL
OFFR
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Asset Value
OFFR=Offer
Dtls/DealgPricDtls/
Tp
ealgPricDtls/Tp
s/PricDtls/Tp
PricDtls/Tp
FORW=Forw
ard Price
HIST=Historic
al Price
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/DealgPricDtls/
PricMtd
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/D
ealgPricDtls/PricMtd
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/PricDtls/PricMtd
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
PricDtls/PricMtd
17.
Price Method
O
Four character
codeword. Possible
values:
• FORW
• HIST
18.
Settlement
Amount
(Payable
Amount)
M
Total amount of money
paid / to be paid or
received in exchange
for the financial
instrument in the order.
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAmt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SttlmAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SttlmAmt
19.
Settlement
Currency
M
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAmt/@C
cy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SttlmAmt/@
Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SttlmAmt/@
Ccy
20.
Trade Date
M
Date at which a price is
applied, according to
the terms stated in the
prospectus.
Date in YYYY-MM-DD
format
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TradDtTm/Dt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
radDtTm/Dt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TradDtTm/Dt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TradDtTm/Dt
21.
Cash
Settlement
Date
O
Date on which cash is
available.
Date in YYYY-MM-DD
format
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/CshSttlmDt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
shSttlmDt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/CshSttlmDt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/CshSttlmDt
22.
Dividend
M
Indicates whether the
dividend is included or
not in the executed
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
19 November 2010
Yes = Cum
Dividend
35
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
price.
Possible Values :
• Yes
• No
No = Ex
Dividend
Dtls/CumDvddInd
umDvddInd
s/CumDvddInd
CumDvddInd
Name of the investment
account specified in
Account Number.
Should match
original order
If non-empty and
<= 35 characters :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/InvstmtAc
ctDtls/AcctNm
If non-empty and >
35 and <=350
characters:
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/InvstmtAc
ctDtls/OwnrId/Nm
AndAdr/Nm
If non-empty and <=
35 characters :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/InvstmtAcctDtls/
AcctNm
If non-empty and >
35 and <=350
characters:
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/InvstmtAcctDtls/
OwnrId/NmAndAdr/
Nm
If non-empty and <=
35 characters:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/AcctNm
If non-empty and >
35 and <=350
characters:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/OwnrId/NmAnd
Adr/Nm
If non-empty and <=
35 characters:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/AcctNm
If non-empty and >
35 and <=350
characters:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/OwnrId/NmAnd
Adr/Nm
:
Optional
Confirmatio
n Details
23.
Account
Name
O
If empty, no Account
Name in message
(default)
If this is <=35
characters, map to
Account Name. Ignored
in most markets.
If >35 and <= 350
characters , map to
Owner ID Name (not
accepted in most
markets, only used in
Australia),
24.
Sub Account
Number
O
Maximum 35 characters
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/InvstmtAc
ctDtls/SubAcctDtls
/Id/Prtry/Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/InvstmtAcctDtls/
SubAcctDtls/Id/Prtry
/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/SubAcctDtls/Id/
Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/SubAcctDtls/Id/
Prtry/Id
25.
Sub Account
Characteristi
c
O
Maximum 35 characters
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/InvstmtAc
ctDtls/SubAcctDtls
/Chrtc
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/InvstmtAcctDtls/
SubAcctDtls/Chrtc
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/SubAcctDtls/Ch
rtc
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/InvstmtAcct
Dtls/SubAcctDtls/Ch
rtc
26.
Income
O
Four character
Should match
/Document/SbcptO
/Document/RedOrdr
/Document/SwtchOr
/Document/SwtchOr
36
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Preference
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
codeword. Possible
values :
• CASH
• DRIP
original order
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/IncmPref
ConfV03/MltplExctn
Dtls/IndvExctnDtls/I
ncmPref
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/IncmPref
drConfV03/SwtchEx
ctnDtls/RedLegDtls/I
ncmPref
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/MstrRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/MstrRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/Xchg
Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/Xchg
Rate
27.
Master
Reference
O
Maximum 35 characters
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/MstrRef
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/MstrRef
28.
Place of
Trade
O
Ignored in most
markets. Included for
French market.
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/PlcOfTrad
/Ctry
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/PlcOfTrad/Ctry
2-character country
code.
29.
Order Type
O
Four character
codeword. Possible
values :
• BEDB
• PREA
• RDIV
Should match
original order
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/OrdrTp/OrdrT
p
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/O
rdrTp/OrdrTp
30.
FX Exchange
Rate
O
Exchange Rate at which
one currency was
bought with another
currency.
When
present, then
both FX Unit
Currency and
FX Quoted
Currency
must be
present.
For example,
if FX unit
currency is
USD, and FX
quoted
currency is
EUR, and FX
exchange
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/XchgR
ate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/XchgRate
Decimal number
19 November 2010
37
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
rate is 0.764,
then 1 USD =
0.764 EUR.
31.
FX Unit
Currency
C
Mandatory when FX
Exchange Rate is
present.
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/UnitCc
y
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/UnitCcy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/UnitC
cy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/UnitC
cy
32.
FX Quoted
Currency
C
Mandatory when FX
Exchange Rate is
present.
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/QtdCc
y
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/QtdCcy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/QtdC
cy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/QtdC
cy
33.
FX
FromAmount
O
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/FrAmt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/FrAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/FrAm
t
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/FrAm
t
34.
FX
FromAmount
Currency
C
Mandatory when FX
FromAmount is present.
The FromAmount
Currency must be equal
to the Unit Currency,
when present.
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/FrAmt/
@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/FrAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/FrAm
t/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/FrAm
t/@Ccy
35.
FX
ToAmount
O
ToAmount , when
present, must be equal
to (FromAmount times
Exchange Rate)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/ToAmt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/ToAmt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/ToA
mt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/ToA
mt
Only allowed
when an FX
Exchange
Rate is
present
Only allowed
when an FX
Exchange
Rate is
present
Decimal number
38
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
36.
FX
ToAmount
Currency
C
Mandatory when FX
ToAmount is present.
The ToAmount
Currency must be equal
to the Quoted Currency,
when present.
Three character
currency code (must be
valid currency code)
O
Place where settlement
took place. Typically a
CSD or ICSD.
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/FXDtls/ToAmt
/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/F
XDtls/ToAmt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/ToA
mt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/FXDtls/ToA
mt/@Ccy
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/SttlmPlc/BICO
rBEI
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Sttl
mPlc/BICOrBEI
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
SttlmPlc/BICOrBEI
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/St
tlmPlc/BICOrBEI
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Rcv
gSdDtls/RcvgAgtDtl
s/PtyId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgAg
tDtls/PtyId/PrtryId/Is
sr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/R
cvgSdDtls/RcvgAgt
Dtls/PtyId/PrtryId/Iss
r
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Rcv
gSdDtls/RcvgAgtDtl
s/PtyId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgAg
tDtls/PtyId/BICOrBE
I
If Proprietary ID :
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/R
cvgSdDtls/RcvgAgt
Dtls/PtyId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
Optional
Settlement
Details
37.
Place of
Settlement
BIC (8 or 11 characters)
38.
39.
Settlement
Party –
Receiver - ID
Option
O
Settlement
Party –
Receiver - ID
C
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
The receiver (buyer) of
the financial instrument
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
19 November 2010
If this field
has a value,
then a
Settlement
Party must be
specified too
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/RcvgSdDtls/R
cvgAgtDtls/PtyId/P
rtryId/Issr
Not to be
confused with
the receiver
(destination)
of the
message.
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/RcvgSdDtls/R
cvgAgtDtls/PtyId/B
ICOrBEI
If Proprietary ID :
39
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Proprietary ID
(Maximum 35
characters)
Mandatory when a
Place of Settlement is
specified in a
Redemption Switch
RLeg
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/RcvgSdDtls/R
cvgAgtDtls/PtyId/P
rtryId/Id
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Rcv
gSdDtls/RcvgAgtDtl
s/PtyId/PrtryId/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgAg
tDtls/PtyId/PrtryId/Id
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/R
cvgSdDtls/RcvgAgt
Dtls/PtyId/PrtryId/Id
40.
Settlement
Party Receiver –
Account
O
Maximum 35 characters
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/RcvgSdDtls/R
cvgAgtDtls/AcctId/
Prtry/Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Rcv
gSdDtls/RcvgAgtDtl
s/AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
RcvgSdDtls/RcvgAg
tDtls/AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/R
cvgSdDtls/RcvgAgt
Dtls/AcctId/Prtry/Id
41.
Settlement
Party –
Deliverer - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then
xxxxx is mapped
to :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/DlvrgSdDtls/D
lvrgAgtDtls/PtyId/P
rtryId/Issr
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Dlv
rgSdDtls/DlvrgAgtDtl
s/PtyId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
DlvrgSdDtls/DlvrgAg
tDtls/PtyId/PrtryId/Is
sr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/Dl
vrgSdDtls/DlvrgAgtD
tls/PtyId/PrtryId/Issr
Settlement
Party –
Deliverer - ID
C
The deliverer (seller) of
the financial instrument.
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/DlvrgSdDtls/D
lvrgAgtDtls/PtyId/B
ICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Dlv
rgSdDtls/DlvrgAgtDtl
s/PtyId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Dlv
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
DlvrgSdDtls/DlvrgAg
tDtls/PtyId/BICOrBE
I
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/Dl
vrgSdDtls/DlvrgAgtD
tls/PtyId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/Dl
42.
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
40
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
43.
Field Name
Settlement
Party Deliverer –
Account
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Mandatory when a
Place of Settlement is
specified in a
Subscription or Switch
SLeg
Dtls/SttlmAndCtdy
Dtls/DlvrgSdDtls/D
lvrgAgtDtls/PtyId/P
rtryId/Id
rgSdDtls/DlvrgAgtDtl
s/PtyId/PrtryId/Id
s/SttlmAndCtdyDtls/
DlvrgSdDtls/DlvrgAg
tDtls/PtyId/PrtryId/Id
vrgSdDtls/DlvrgAgtD
tls/PtyId/PrtryId/Id
O
Maximum 35 characters
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/SttlmAndCtdy
Dtls/DlvrgSdDtls/D
lvrgAgtDtls/AcctId/
Prtry/Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/S
ttlmAndCtdyDtls/Dlv
rgSdDtls/DlvrgAgtDtl
s/AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/SttlmAndCtdyDtls/
DlvrgSdDtls/DlvrgAg
tDtls/AcctId/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
SttlmAndCtdyDtls/Dl
vrgSdDtls/DlvrgAgtD
tls/AcctId/Prtry/Id
O
Four character
codeword. Possible
values :
• CONC
• DIST
• FMCO
• INTR
• REGI
• TRAG
• TRAN
• UCL1
• UCL2r
Or, any other string
(max 350 characters)
If codeword :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/R
ole
Else:
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/Xt
ndedRole
If codeword :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/Role
If codeword :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
Role
If codeword :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
Role
Else:
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/XtndedRol
e
Else:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
XtndedRole
Else:
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
XtndedRole
Optional
Repetitive
Fields – 1st
occurrence
44.
Related
Party1 – Role
19 November 2010
C=
Concentrator
= Distributor
O = Fund
Management
Company
INTR=Interm
ediary
REGI=Registr
ar
TRAG=Transf
er Agent
TRAN=Trans
mitting Agent
UCL1=Underl
ying Client 1
UCL2=Underl
ying Client 2
If it is any
other string,
41
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/Id/PrtryId/I
ssr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/PrtryId/Issr
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/Id/
BICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/Id/
PrtryId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/Id/BICOrB
EI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/Id/PrtryId/I
d
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/I
d/PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/Ac
ct/Id/Prtry/Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls/Acct/Id/Prt
ry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
Acct/Id/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls/
Acct/Id/Prtry/Id
/Document/SbcptO
/Document/RedOrdr
/Document/SwtchOr
/Document/SwtchOr
then it’s a
bilaterally
agreed role
description,
mapped to
ExtendedRol
e instead of
Role
45.
Related
Party1 – ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
46.
Related
Party1 - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
47.
Related
Party1 –
Account
O
Maximum 35 characters
48.
Charge1 -
O
Four character
42
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls/Id/
PrtryId/Issr
If this field
has a value,
then ‘Related
Party2 –
Role’ must
also have a
value
BEND = Back
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
codeword. Possible
values :
• BEND
• BRKF
• DISC
• FEND
• INIT
• UCIC
Or another codeword
from the SWIFT
Standards MX Charge
Type 1 Code value
End Load
(charge paid
at redemption
time)
BRKF =
Brokerage
Fee
DISC =
Discount (on
standard
charge)
FEND = Front
End Load
(charge paid
at
subscription
time)
INIT = Initial
(charge paid
at the first
subscription)
UCIC =
UCITS
Commission
(charge paid
at
subscription
and
redemption)
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/Tp
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
Tp
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/Tp
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/Tp
49.
Charge1 Amount
O
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/Amt
50.
Charge1 Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
19 November 2010
43
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
hrgDtls/Amt/@Ccy
Amt/@Ccy
Dtls/Amt/@Ccy
s/Amt/@Ccy
51.
Charge 1 Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/Rate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/Rate
52.
Charge1
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
RcptId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/RcptId/PrtryId/Is
sr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/RcptId/PrtryId/Issr
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/RcptId/BIC
OrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/RcptId/Prtr
yId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
RcptId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls/
RcptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/RcptId/BICOrB
EI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls/RcptId/PrtryId/I
d
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/RcptId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s/RcptId/PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Tp
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/Tp
53.
Charge1
Recipient - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
54.
Commission1
- Type
O
Four character
codeword. Possible
values :
• BEND
• CDPL
• FEND
44
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls/RcptId/Prtr
yId/Issr
BEND = Back
End Load
(commission
at redemption
time)
CDPL =
Commission
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
Note: enter code word
in uppercase only.
de Placement
(cash due to
an
intermediary)
FEND = Front
End Load
(commission
at
subscription
time)
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
55.
Commission1
- Amount
O
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/Amt
56.
Commission1
- Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Amt
/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/Amt/@C
cy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/Amt/@Ccy
57.
Commission
1Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Rat
e
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/Rate
58.
Commission
1–
commercial
agreement
reference
O
Maximum 35 characters
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Co
mrclAgrmtRef
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/ComrclAgrmt
Ref
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/ComrclA
grmtRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/ComrclAgr
mtRef
59.
Commission1
Recipient - ID
O
Determines what type of
ID is given in the next
If xxxxx , then
xxxxx is mapped
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
19 November 2010
45
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Option
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/RcptId/PrtryId
/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/RcptId/Pr
tryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/RcptId/Prtr
yId/Issr
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Rcp
tId/BICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Rcp
tId/PrtryId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/RcptId/BICOr
BEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls/RcptId/PrtryId
/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/RcptId/BI
COrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls/RcptId/Pr
tryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/RcptId/BI
COrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls/RcptId/Prtr
yId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls/Rcp
tId/PrtryId/Issr
60.
Commission1
Recipient - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
61.
Tax1 - Type
O
Four character
codeword. Possible
Values :
• EUTR
• WITH
EUTR=EU
Tax Retention
WITH=Withh
olding Tax
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/Tp
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/T
p
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
Tp
62.
Tax1 Amount
O
Decimal number
Mandatory if
column 61 is
selected
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/A
mt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
Amt
63.
Tax1 Currency
O
Three character
currency code (must be
valid currency code)
Mandatory if
column 61 is
selected
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
46
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Dtls/TaxGnlDtls/Ta
xDtls/Amt/@Ccy
axGnlDtls/TaxDtls/A
mt/@Ccy
s/TaxGnlDtls/TaxDtl
s/Amt/@Ccy
TaxGnlDtls/TaxDtls/
Amt/@Ccy
64.
Tax1 Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/Rate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/R
ate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
Rate
65.
Tax1 Country
O
Two character country
code
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/Ctry
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/C
try
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/Ctry
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
Ctry
66.
Tax1
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/R
cptId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/RcptId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
RcptId/PrtryId/Issr
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/RcptId/BICOr
BEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/RcptId/PrtryI
d/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/R
cptId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls/R
cptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/RcptId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s/RcptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
RcptId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls/
RcptId/PrtryId/Id
67.
Tax1
Recipient - ID
19 November 2010
O
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls/RcptId/PrtryI
d/Issr
47
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
O
Four character
codeword. Possible
Values :
• CONC
• DIST
• FMCO
• INTR
• REGI
• TRAG
• TRAN
• UCL1
• UCL1
Or, any other string
(max 350 characters)
CONC =
Concentrator
DIST =
Distributor
FMCO =
Fund
Management
Company
INTR=Interm
ediary
REGI=Registr
ar
TRAG=Transf
er Agent
TRAN=Trans
mitting Agent
UCL1=Underl
ying Client 1
UCL2=
Underlying
Client 2
If it’s any
other string,
then it’s a
bilaterally
agreed role
description,
mapped to
ExtendedRol
e instead of
Role
If codeword :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
Role
Else:
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
XtndedRole
If codeword :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Role
Else:
If codeword :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Role
Else:
If codeword :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Role
Else:
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Xtnded
Role
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls
/RltdPtyDtls[2]/Xtnd
edRole
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/XtndedRole
If xxxxx , then
xxxxx is mapped
If xxxxx , then xxxxx
If xxxxx , then xxxxx
If xxxxx , then xxxxx
Optional
Repetitive
Fields – 2nd
occurrence
68.
69.
48
Related
Party2 – Role
Related
Party2 - ID
O
Determines what type of
ID is given in the next
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Option
Input and Possible
Values
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
70.
Related
Party2 - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx :
Proprietary ID
(Maximum 35
characters)
71.
Related
Party2 –
Account
O
Maximum 35 characters
72.
Charge2 Type
O
Four character
codeword. Possible
values :
• BEND
• BRKF
• DISC
• FEND
• INIT
• UCIC
Or, another codeword
from the SWIFT
Standards MX
19 November 2010
Comment
If this field
has a value,
then ‘Related
Party2 –
Role’ must
also have a
value
BEND = Back
End Load
(charge paid
at redemption
time)
BRKF =
Brokerage
Fee
DISC =
Discount (on
standard
charge)
FEND = Front
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
to :
is mapped to :
is mapped to :
is mapped to :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
Id/PrtryId/Issr
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Id/PrtryI
d/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/PrtryId/Issr
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
Id/BICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
Id/PrtryId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Id/BICO
rBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Id/PrtryI
d/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Id/PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/RltdPtyDtls[2]/
Acct/Id/Prtry/Id
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/R
ltdPtyDtls[2]/Acct/Id/
Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Acct/Id/Prtry/Id
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RltdPtyDtls[2
]/Acct/Id/Prtry/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/Tp
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/Tp
49
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
ChargeType1Code
value
End Load
(charge paid
at
subscription
time)
INIT = Initial
(charge paid
at the first
subscription)
UCIC =
UCITS
Commission
(charge paid
at
subscription
and
redemption)
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
73.
Charge2 Amount
O
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/Amt
74.
Charge2 Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/Amt/@C
cy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/Amt/@Ccy
75.
Charge2 Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/Rate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/Rate
76.
Charge2
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
If xxxxx , then
xxxxx is mapped
to :
/Document/SbcptO
rdrConfV03/MltplE
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
50
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
•
•
Proprietary
xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
77.
Charge2
Recipient - ID
O
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(Maximum 35 char)
78.
Commission2
- Type
O
Four character
codeword. Possible
values :
• BEND
• CDPL
• FEND
19 November 2010
Comment
BEND = Back
End Load
(commission
at redemption
time)
CDPL =
Commission
de Placement
(cash due to
an
intermediary)
FEND = Front
End Load
(commission
at
subscription
time)
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/RcptId/P
rtryId/Issr
hrgGnlDtls/ChrgDtls[
2]/RcptId/PrtryId/Issr
s/ChrgGnlDtls/Chrg
Dtls[2]/RcptId/PrtryI
d/Issr
ChrgGnlDtls/ChrgDtl
s[2]/RcptId/PrtryId/Is
sr
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/RcptId/B
ICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ChrgGnlDtls/C
hrgDtls[2]/RcptId/P
rtryId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/RcptId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
hrgGnlDtls/ChrgDtls[
2]/RcptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/RcptId/BICOr
BEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ChrgGnlDtls/Chrg
Dtls[2]/RcptId/PrtryI
d/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/RcptId/BICOrBE
I
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ChrgGnlDtls/ChrgDtl
s[2]/RcptId/PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/T
p
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/Tp
51
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
79.
Commission2
- Amount
O
80.
Commission2
- Currency
81.
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/A
mt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/Amt
O
Three character
currency code (must be
a valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/A
mt/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/Amt/@
Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/Amt/@
Ccy
Commission2
- Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/R
ate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/Rate
82.
Commission
2–
commercial
agreement
reference
O
Maximum 35 characters
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/C
omrclAgrmtRef
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/ComrclAgr
mtRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/Comrc
lAgrmtRef
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/Comrcl
AgrmtRef
83.
Commission2
Recipient - ID
Option
O
Determines what type of
ID is given in the next
field. Possible values :
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/RcptId/Prtr
yId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/RcptId
/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/RcptId/
PrtryId/Issr
If ID Option = empty or
BIC:
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
84.
52
Commission2
Recipient - ID
O
Comment
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/R
cptId/PrtryId/Issr
CSV File Upload
Uploading Funds Confirmations CSV Files
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
Comment
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(Maximum 35
characters)
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/R
cptId/BICOrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/ComssnGnlDtl
s/ComssnDtls[2]/R
cptId/PrtryId/Id
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/RcptId/BIC
OrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/C
omssnGnlDtls/Coms
snDtls[2]/RcptId/Prtr
yId/Id
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/RcptId
/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/ComssnGnlDtls/C
omssnDtls[2]/RcptId
/PrtryId/Id
ctnDtls/RedLegDtls/
ComssnGnlDtls/Co
mssnDtls[2]/RcptId/
BICOrBEI
If Proprietary ID
:/Document/SwtchO
rdrConfV03/SwtchE
xctnDtls/RedLegDtls
/ComssnGnlDtls/Co
mssnDtls[2]/RcptId/
PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/Tp
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/Tp
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/Tp
85.
Tax2 - Type
O
Four character
codeword. Possible
Values :
• EUTR
• WITH
86.
Tax2 Amount
O
Decimal number
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/Amt
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/Amt
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/Amt
87.
Tax2 Currency
O
Three character
currency code (must be
valid currency code)
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/Amt/@Ccy
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/Amt/@Ccy
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/Amt/@Ccy
88.
Tax2 Percentage
O
Decimal number, for
example 7.0 is 7%.
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/Rate
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/Rate
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/Rate
89.
Tax2 Country
O
Two character country
code
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/Ctry
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/Ctry
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/Ctry
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/Ctry
19 November 2010
EUTR=EU
Tax Retention
WITH=Withh
olding Tax
53
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field
Type
Input and Possible
Values
90.
Tax2
Recipient - ID
Option
O
91.
Tax2
Recipient - ID
O
Comment
XML encoding for
ConfSubscription
XML encoding for
ConfRedemption
XML encoding for
ConfSwitchSLeg
XML encoding for
ConfSwitchRLeg
Determines what type of
ID is given in the next
field. Possible values:
• BIC
• Proprietary
• xxxx (any other
string) – interpreted
as the Issuer of a
Proprietary ID
If xxxxx , then
xxxxx is mapped
to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
If xxxxx , then xxxxx
is mapped to :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/RcptId/PrtryId/Issr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/RcptId/PrtryId/Is
sr
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/RcptId/PrtryId/Issr
If ID Option = empty or
BIC:
BIC (8 or 11 characters)
If ID Option =
Proprietary or xxxx:
Proprietary ID
(Maximum 35
characters)
If BIC :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/RcptId/BIC
OrBEI
If Proprietary ID :
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/RcptId/Prtr
yId/Id
If BIC :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/RcptId/BICOrBEI
If Proprietary ID :
/Document/RedOrdr
ConfV03/MltplExctn
Dtls/IndvExctnDtls/T
axGnlDtls/TaxDtls[2]
/RcptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/RcptId/BICOrBE
I
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/SbcptLegDtl
s/TaxGnlDtls/TaxDtl
s[2]/RcptId/PrtryId/Id
If BIC :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/RcptId/BICOrBEI
If Proprietary ID :
/Document/SwtchOr
drConfV03/SwtchEx
ctnDtls/RedLegDtls/
TaxGnlDtls/TaxDtls[
2]/RcptId/PrtryId/Id
/Document/SbcptO
rdrConfV03/MltplE
xctnDtls/IndvExctn
Dtls/TaxGnlDtls/Ta
xDtls[2]/RcptId/Prtr
yId/Issr
With the Alliance Lite web interface, you can also download Funds Confirmations, in an Excel format similar to the above CSV upload format.
This is through the Funds Management Export Report. See Alliance Lite User Guide: Export Reports for details.
This produces an ‘Excel spreadsheet’ that:
54
•
starts with the same columns as in the above CSV upload format. Codewords are expanded to human readable text, for example,. this
report will say ‘Actual’ instead of ‘ACTU’.
•
at the end (at the right), additional columns are shown compared to the above CSV upload format:
- Message Id: this is the unique message ID as present in the MX message
- MX Type: for example, setr.004
- Tnum: the unique number allocated by Alliance Lite to this instruction
CSV File Upload
Uploading Funds Confirmations CSV Files
-
Status: the status of the message as known to Alliance Lite (for example, Waiting Approval, Sent, Received …)
Status Received Date/Time: the date&time when a Status message was received from the counterparty (if any)
Template: the name of the template used to construct the message (if any)
Sender’s BIC: the BIC code of the sender of the message
Creation Date/Time: the CrDtTime element as present in the MX message
Internal memo: optional text added by operator that entered the message on the Alliance Lite GUI (if any)
a number of columns that present the audit trail of the message:
- by who and when the messages was entered, modified, approved , unapproved, deleted
- rejection reason and timestamp, released timestamp, ack received timestamp, confirm received timestamp
The ‘ack received timestamp’ is the time that SWIFTNet accepted the message.
For sent messages, this is the SnFInputTime.
For received messages, this is currently shown with a time that very closely approximates the SnFInputTime
(derived from the swiftref , which is at most a few seconds earlier than the SnFInputTime).
All audit trail timestamps are exported in the local time zone of the user.
19 November 2010
55
Alliance Lite - 2.0
5
Uploading Fund Statement CSV Files
The entire CSV file can only contain one semt statement message.
A semt message contains the statement for a single (master) account, and possibly the subaccounts of that master account. An account can
contain multiple ISINs. Each sub-account (when present) contains positions for only a single ISIN. For a given ISIN the price and holding
value are expressed in a single currency.
Note
Field Type contains Mandatory (M), Optional (O), or Conditional (C) values. M means that the field cannot be left empty and is a
mandatory field in the CSV. O means that the field can be left empty in the CSV. C means mandatory under certain conditions.
The conditions are described in the comment column.
How to enter details in the Fund Statement CSV files fields
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
Field Name
XML encoding/XML XPath
XML encoding
1.
Instruction Type
M
The Instruction Type determines which
message is to be created. Possible values:
• StatementCustody
• StatementAccounting
StatementCustody = semt.002.001.02 =
CtdyStmtOfHldgsV02
StatementAccounting = semt.003.001.02
In the header
2.
Receiver
M
Destination to which the statement
message is sent. Typically to the account
owner (ordering party).
Possible values :
5
• a mnemonic code defined by the
customer on Alliance Lite, or
• a DN (Distinguished Name on
SWIFTNet)
Maximum length for mnemonic code is 8
characters.
Maximum length for DN is 100 characters.
For example, o=bankbebb, o=swift. A DN
contains commas.
The DN is derived from the bankcode by
Alliance Lite, and the DN is passed on
into the message.
In the header
5
56
Such a mnemonic code is defined by an Administrator, under Admin > Setup > Bank/Institution > Add. The ‘Bank Code’field on that screen is the mnemonic code.
CSV File Upload
Uploading Fund Statement CSV Files
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
3.
Statement
Reference
M
The unique reference for the statement
assigned by the sending party. Maximum
16 characters.
4.
Page Number
M
A statement longer than a single MX
message can be spread over multiple
pages (aka multiple MX messages aka
multiple CSV files).
5.
Last page?
M
Indicates if this is the last page of the
statement. Possible values :
• Yes
• No
semt.002
/Document/CtdyStmtOfHldgsV02/
MsgPgntn/LastPgInd
semt.003
/Document/AcctgStmtOfHldgsV0
2/MsgPgntn/LastPgInd
6.
Account Number
M
Maximum 35 characters
semt.002
/Document/CtdyStmtOfHldgsV02/
AcctDtls/Id/SmplId/Prtry/Id
semt.003
/Document/AcctgStmtOfHldgsV0
2/AcctDtls/Id/SmplId/Prtry/Id
7.
Statement Date
M
Date in YYYY-MM-DD format
semt.002
/Document/CtdyStmtOfHldgsV02/
StmtGnlDtls/StmtDtTm/Dt
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/StmtDtTm/Dt
8.
Statement
Frequency
M
Possible values :
• Daily
• DAIL
19 November 2010
Comment
XML encoding/XML XPath
semt.002
/Document/CtdyStmtOfHldgsV02/
StmtGnlDtls/Ref
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/Ref
First page must be number 1.
DAIL = Daily
WEEK = Weekly
MNTH = Monthly
semt.002
/Document/CtdyStmtOfHldgsV02/
MsgPgntn/PgNb
semt.003
/Document/AcctgStmtOfHldgsV0
2/AcctDtls/Id/SmplId/Prtry/Id
semt.002
/Document/CtdyStmtOfHldgsV02/
StmtGnlDtls/Frqcy/FrqcyAsCd
57
Alliance Lite - 2.0
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
XML encoding/XML XPath
YEAR = Yearly
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/Frqcy/FrqcyAsCd
Indicates the type of balance on which the
statement is prepared.
Possible values :
• Traded
• TRAD
• Settled
• SETT
• Contractual
• CONT
TRAD = Traded: The statement is based
on trade date positions.
semt.002
/Document/CtdyStmtOfHldgsV02/
StmtGnlDtls/StmtBsis/StmtBsisA
sCd
Indicates if activity took place on the
account in the period reported in the
statement.
Possible Values :
• Yes
• True
• No
• False
‘Yes’ = True: there was activity, there
must be at least one statement line.
‘No’ = False: there was no activity, then
statement lines are not allowed
Indicates if the statement was audited.
Possible Values :
• Yes
• True
• No
• False
Yes = True: statement was audited
No = False: statement was not audited
•
•
•
•
•
•
9.
10.
11.
58
Statement Basis
Activity?
Audited?
M
M
C
Weekly
WEEK
Monthly
MNTH
Yearly
YEAR
SETT = Settled: The statement is based
on settled date positions to the
knowledge of the sender at the time of
the statement preparation.
CONT = Contractual: The statement is
based on contractual settlement date
irrespective of settled data positions.
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/StmtBsis/StmtBsis
AsCd
semt.002
/Document/CtdyStmtOfHldgsV02/
StmtGnlDtls/ActvtyInd
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/ActvtyInd
Mandatory in semt.003. Not allowed in
semt.002
semt.002 not allowed
semt.003
/Document/AcctgStmtOfHldgsV0
2/StmtGnlDtls/AudtdInd
CSV File Upload
Uploading Fund Statement CSV Files
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
XML encoding/XML XPath
The above 11 fields constitute the first row of data in the CSV. This first row can be preceded by a header row that gives the name of the fields. This first row can be
followed by a second header row, that gives the names of the fields for the statement lines – if present, then this second header row must have as value in the first
column ‘SubAccount Number’. This optional second header row is followed by n rows with statement lines (also called Financial Instrument balances) for the account. If
a given Financial Instrument has more than one price/holding value, it is repeated on more than 1 statement line (once for each price).
If sub accounts are reported, then sub account columns (Sub Account Number and Sub Account Activity) are filled for all statement lines, and the same sub account
number is repeated for all rows about that sub account. If sub accounts are not used, then sub account columns remain empty for all statement lines.
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
1.
SubAccount
Number
O
Maximum 35 characters
Comment
XML encoding/XML XPath
semt.002
/Document/CtdyStmtOfHldgsV02/
SubAcctDtls/Id/SmplId/Prtry/Id
semt.003
/Document/AcctgStmtOfHldgsV0
2/SubAcctDtls/Id/SmplId/Prtry/Id
2.
SubAccount
Activity?
C
Indicates if activity took place on the sub
account, in the period reported in the
statement.
Possible Values :
• Yes
• No
3.
Financial
Instrument (ISIN)
M
ISIN of the Financial Instrument whose
holding is reported.
19 November 2010
Mandatory if Sub Account Number is
present, else not allowed.
semt.002
/Document/CtdyStmtOfHldgsV02/
SubAcctDtls/ActvtyInd
semt.003
/Document/AcctgStmtOfHldgsV0
2/SubAcctDtls/ActvtyInd
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/FinInstrmDtls/Id/ISIN
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/FinInstrmDtls/Id/I
SIN
59
Alliance Lite - 2.0
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
XML encoding/XML XPath
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
4.
Quantity (Units)
M
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/AggtQty/Qty/Unit
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/AggtQty/Qty/Unit
Total number of units of the Financial
Instrument for the reported holding.
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
5.
Price per unit
C
This is the price per unit of the Financial
Instrument (amount) for the reported
holding. This is either a decimal number, or
the codeword:
•
60
Unknown
Mandatory for 003, optional for 002
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/PricDtls/Val/Amt
or (if Sub Account Number empty
and Price is ‘Unknown’)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/PricDtls/Val/UknwnIn
d
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/PricDtls/Val/Amt
or (if Sub Account Number
present and Price is ‘Unknown’)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/PricDtls/Val/Uknw
CSV File Upload
Uploading Fund Statement CSV Files
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
XML encoding/XML XPath
nInd
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
6.
Price - Currency
C
If price per unit is empty or unknown, then
currency must be empty, else currency
must be a valid 3-character currency code.
For example, USD, EUR, and so on.
Mandatory for 003, optional for 002
Mandatory for 002 if the Price per unit
is present
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/PricDtls/Val/Amt,
attribute Ccy
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/PricDtls/Val/Amt,
attribute Ccy
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
7.
Holding Value
C
Value of the financial instrument and all its
units . Instrument Price times Quantity
gives Holding Value.
Mandatory for 003, optional for 002
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/HldgVal
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/HldgVal
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
19 November 2010
61
Alliance Lite - 2.0
CSV
Colu
mn
Field
Name/Statement
Line
Field
Type
Input and Possible Values
Comment
XML encoding/XML XPath
8.
Holding Value Currency
C
This the currency of the holding value of
the financial instrument.
Mandatory for 003, optional for 002
Mandatory for 002 if the holding value is
present
semt.002
(if Sub Account Number empty)
/Document/CtdyStmtOfHldgsV02/
BalForAcct/HldgVal, attribute Ccy
or (if Sub Account Number
present)
/Document/CtdyStmtOfHldgsV02/
BalForSubAcct/HldgVal, attribute
Ccy
semt.003
same (replace
CtdyStmtOfHldsgV02 by
AcctgStmtOfHldgsV02)
62
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
6
Uploading Securities Settlement Instructions CSV Files
The Securities Settlement Instructions CSV allows you to upload the following messages:
•
Receive Free (MT 540)
•
Receive Versus Payment (MT 541)
•
Deliver Free (MT 542)
•
Deliver Versus Payment (MT 543)
Note
Field Type contains Mandatory (M), Optional (O), or Conditional (C) values. M means that the field cannot be left empty and is a
mandatory field in the CSV. O means that the field can be left empty in the CSV. C means mandatory under certain conditions.
The conditions are described in the comment column.
How to enter details in the Securities Settlement Instructions CSV files fields
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
General
1.
2.
3.
Instruction Type
Receiver’s BIC
Function of the
Message
19 November 2010
M
M
M
Determines which message type is to be
created. Possible values :
• ReceiveFree
• ReceiveVersusPayment
• DeliverFree
• DeliverVersusPayment
ReceiveFree = MT540
ReceiveVersusPayment =
MT541
DeliverFree = MT542
DeliverVersusPayment =
MT543
Destination where the instruction is sent to.
Not to be confused with the receiver of the
Financial Instrument.
BIC (8 or 11 char)
Determines if this is a new instruction or not.
Four character codeword. Possible values :
• CANC
• NEWM
• PREA
CANC = Cancellation of
previous instruction
NEWM = New instruction
PREA = Pre-advice for a
forthcoming instruction. Not
binding for execution
Encoding in MT
Sequence
Field Tag and
Qualifier
N/A
N/A
N/A
N/A
Seq. A
23G: (Function)
63
Alliance Lite - 2.0
CSV
Colu
mn
4.
Field Name
Field Type
Input and Possible Values
Sender's Message
Reference
M
The unique reference for the instruction,
assigned by the sender.
Maximum 16 characters
(first and last character cannot be slash ‘/’
and cannot contain two consecutive slashes
‘//’)
Seq. A
20C::SEME//
Seq. C
97A::SAFE//
Seq. C
97A::CASH//
Seq. B
35B::ISIN
Seq. C
36B::SETT//
(Quantity)
Seq. C
36B::SETT//
(Quantity Type
Code)
5.
Safekeeping Account
Number
M
Account where the financial instruments are
kept.
Maximum 35 characters
6.
Cash Account
Number
O
Account in which cash is maintained.
Comment
Encoding in MT
Maximum 35 characters
Settlement
Instructions
7.
Financial Instrument
(ISIN)
M(*)
ISIN (International Securities Identification
Number).
Starts with a 2 character country code
followed by 10 characters.
ISINs with a typing mistake will
not pass, since the last
character of an ISIN is a
checkdigit, and Alliance Lite
verifies this checkdigit.
(*) can be left empty, but then must be
specified with non-ISIN type of ID - see
Alternative Identifications
8.
Quantity (Financial
Instrument)
M
The quantity of financial instrument to be
settled. Typically expressed in units, but that
is determined by the Quantity Type (next
column).
15d decimal number
9.
64
Quantity - Type
M
Indicates how the Quantity (of Financial
Instrument) should be interpreted.
Four character codeword. Possible Values :
• UNIT
UNIT = Units
(Quantity is expressed as a
number For example, a number
of shares)
AMOR = Amortised Value
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
•
10.
Settlement Amount
M/O
AMOR
FAMT
Total amount of money to be paid or
received in exchange for the financial
instrument.
Mandatory in ‘versus payment’ instructions,
else optional.
Comment
Encoding in MT
(Quantity is expressed as an
amount representing the
current amortised face amount
of a bond For example, a
periodic reduction of a bond’s
principal amount).
FAMT = Face Amount
(Quantity is expressed as an
amount representing the face
amount, that is, the principal, of
a debt instrument)
A minus sign is used when the
Amount is credited while the
practice or the transaction type
would normally imply that the
Amount should be debited (or
vice versa).
Seq. E3
19A::SETT//
(Amount)
Seq. E3
19A::SETT//
(Currency Code)
Seq. E
22F::SETR//
(Indicator)
15d decimal number. Can be negative
(preceded by a minus sign).
11.
Settlement Amount Currency
C
Mandatory when Settlement Amount is
provided, else not allowed.
Three character currency code
12.
Settlement Type
19 November 2010
M
Underlying information regarding the type of
settlement transaction.
Four character codeword.
Possible values:
• BSBK
• CNCB
• COLI
• COLO
• CONV
• FCTA
BSBK=Buy Sell Back
CNCB=Central Bank Collateral
Operation
COLI=Collateral In
COLO=Collateral Out
CONV=DR Conversion
FCTA=Factor Update
INSP=Move of Stock
ISSU=DR Issue
MKDW=Mark-Down
65
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
66
INSP
ISSU
MKDW
MKUP
NETT
NSYN
OWNE
OWNI
PAIR
PLAC
PORT
REAL
REDI
REDM
RELE
REPU
RODE
RPTO
RVPO
SBBK
SBRE
SECB
SECL
SLRE
SUBS
SYND
TBAC
TRAD
TRPO
TRVO
TURN
Comment
Encoding in MT
MKUP=Mark-Up
NETT=Netting
NSYN=Non Syndicated
OWNE=External Account
Transfer
OWNI=Internal Account
Transfer
PAIR=Pair-off
PLAC=Placement
PORT=Portfolio Move
REAL=Realignement
REDI=Withdrawal
REDM=Redemption (Funds)
RELE=DR
Release/Cancellation
REPU=Repo
RODE=Return of delivery
without matching
RPTO=Reporting
RVPO=Reverse Repo
SBBK=Sell Buy Back
Transaction
SBRE=Borrowing Reallocation
SECB=Securities Borrowing
SECL=Securities Lending
SLRE=Lending Reallocation
SUBS=Subscription (Funds)
SYND=Syndicate of
Underwriters
TBAC=TBA Closing
TRAD=Trade
TRPO=Triparty Repo
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
TRVO=Triparty Reverse Repo
TURN=Turnaround
13.
Settlement Date
M
Date on which the financial instruments are
to be settled (delivered or received).
Seq. B
98A::SETT//
Seq. B
98A::TRAD//
Seq. E1
95P::PSET//
Seq. E1
95P::REAG//
Seq. E1
97A::SAFE//
Seq. E1
95P::DEAG//
Format: YYYYMMDD
14.
Trade Date
O
Date on which the trade was executed.
Format: YYYYMMDD
15.
Place of Settlement BIC
M(*)
BIC (8 or 11 characters)
(*) can be left empty, but then must be
specified with non-BIC type of ID - see
Alternative Identifications)
List of valid places of
settlement BICs is available on
www.smpg.info, under PSET
BICs List
Settlement Parties
16.
Receiving Agent - BIC
C(*)
Receiving party that interacts with the place
of settlement.
Mandatory for Deliver
instructions
BIC (8 or 11 characters)
(*) can be left empty, but then must be
specified with non-BIC type of ID - see
Alternative Identifications)
17.
Receiving Agent Safekeeping Account
O
Maximum 35 characters
Only allowed for Deliver
instructions
18.
Delivering Agent BIC
C
Delivering party that interacts with the place
of settlement.
Mandatory for Receive
instructions
BIC (8 or 11 characters)
(*) can be left empty, but then must be
19 November 2010
67
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
specified with non-BIC type of ID - see
Alternative Identifications)
19.
Delivering Agent Safekeeping Account
O
Maximum 35 characters
Only allowed for Receive
instructions
Seq. E1
97A::SAFE//
20.
Buyer (Receiver) BIC
C
BIC (8 or 11 characters)
Only allowed for Deliver
instructions. Mandatory if
Receiver’s Custodian is
present.
Seq. E1
95P::BUYR//
21.
Buyer - Safekeeping
Account
O
Maximum 35 characters
Only allowed for Deliver
instructions
Seq. E1
97A::SAFE//
22.
Seller (Deliverer) BIC
C
BIC (8 or 11 characters)
Only allowed for Receive
instructions. Mandatory if
Deliverer’s Custodian is
present.
Seq. E1
95P::SELL//
23.
Seller - Safekeeping
Account
O
Maximum 35 characters
Only allowed for Receive
instructions
Seq. E1
97A::SAFE//
24.
Receiver’s Custodian
- BIC
O
BIC (8 or 11 characters)
Only allowed for Deliver
instructions
Seq. E1
95P::RECU//
25.
Receiver’s Custodian
- Safekeeping
Account
O
Maximum 35 characters
Only allowed for Deliver
instructions
Seq. E1
97A::SAFE//
26.
Deliverer’s Custodian
- BIC
O
BIC (8 or 11 characters)
Only allowed for Receive
instructions
Seq. E1
95P::DECU//
27.
Deliverer’s Custodian
- Safekeeping
Account
O
Maximum 35 characters
Seq. E1
97A::SAFE//
28.
Investor - BIC
O
Party can be either an individual or
organisation, whose assets are being
invested
Seq. F
95P::INVE//
68
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
Only allowed for Receive
instructions
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
Mandatory if function of the
message is CANC
Seq. A1
20C::PREV//
Seq. A1
20C::RELA//
Seq. A1
20C::PREA//
Seq. A1
20C::COMM//
Seq. A1
20C::TRRF//
Seq. A1
20C::POOL//
Seq. C
94F::SAFE//
(Identifier Code)
Seq. C
94F::SAFE//
(Place Code)
BIC (8 or 11 characters)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
Linkages
29.
Previous Message
Reference
C
Maximum 16 characters
30.
Related Message
Reference
O
Maximum 16 characters
31.
Preadvice Message
Reference
O
Maximum 16 characters
32.
Common Transaction
Reference
O
Maximum 16 characters
33.
Deal Reference
O
Maximum 16 characters
34.
Pool Reference
O
Maximum 16 characters
Place of Safekeeping
- BIC
O
BIC (8 or 11 characters)
Place of Safekeeping
- Place Code
C
Other Settlement
Details
35.
36.
19 November 2010
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
Mandatory when ‘Place Of Safekeeping –
BIC’ is present.
Four character codeword.
Possible values :
• CUST
• ICSD
• NCSD
CUST=Local Custodian
ICSD=International Central
Securities Depository
NCSD=National Central
Securities Depository
SHHE=Shares Held Elsewhere
69
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
Mandatory when ‘Place Of Listing – MIC’ is
present.
Four character codeword.
Possible values :
• EXCH
• OTCO
• PRIM
• SECM
EXCH=Stock Exchange
OTCO=Over the Counter
PRIM=Primary Market
SECM=Secondary Market
Seq. B1
94B::PLIS// (Place
Code)
Place where the financial instrument is
listed. This is optional information.
Must be a MIC (Market Identifier Code).
Example: XNYS is the MIC for the New York
Stock Exchange.
List of valid MICs is on
www.iso15022.org, under ‘ISO
10383 MIC’
Seq. B1
94B::PLIS//
(Narrative)
Specifies whether registration should occur
upon receipt.
Four character codeword.
Possible values :
• NREG
• YREG
NREG=Don’t register on
receipt. Hold the securities in
street name.
YREG=Register on receipt
Seq. E
22F::REGT//
Four character codeword.
Possible values :
• NRTG
• YRTG
NRTG=Settle through NonRTGS
YRTG=Settle through RTGS
Seq. E
22F::RTGS//
Four character codeword.
Possible values:
• ASGN
• BUTC
• CLEN
• DIRT
• DLWM
ASGN=Assignment
BUTC=Buy to Cover
CLEN=Clean
DIRT=Dirty
DLWM=Delivery Without
Matching
DRAW=Drawn
Seq. E
22F::STCO//
•
37.
38.
39.
40.
41.
70
Place of Listing Type
Place of Listing - MIC
Registration Indicator
C
O
O
Securities Real-Time
Gross Settlement
Override
O
Settlement
Transaction Condition
Indicator
O
SHHE
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
•
•
•
•
•
•
•
•
•
•
•
42.
43.
44.
45.
Beneficial Ownership
Indicator
O
Tax Capacity Party
Indicator
O
Settlement System /
Method Indicator
O
Stamp Duty Indicator
DSS
19 November 2010
O
DRAW
EXER
FRCL
KNOC
NPAR
PART
PHYS
RESI
SPCS
SPDL
SPST
UNEX
Comment
Encoding in MT
EXER=Exercised
FRCL=Free Clean Settlement
KNOC=Knocked out
NPAR=No Partial Settlement
Allowed
PART=Partial Settlement
PHYS=Physical
RESI=CSD Payment Only
SPCS=Split Currency
Settlement
SPDL=Special Delivery
SPST=Split Settlement
UNEX=Unexposed
Four character codeword.
Possible values:
• NBEN
• YBEN
NBEN=No change to beneficial
ownership (NCBO)
YBEN=Change to beneficial
ownership (CBO)
Seq. E
22F::BENE//
Four character codeword.
Possible values:
• AGEN
• PRIN
AGEN=Acting as an Agent for
tax liability
PRIN=Acting as a Principal for
tax liability
Seq. E
22F::TCPI//
Four character codeword.
Possible values
• NSET
• YSET
NSET=Settle through the
default Settlement Method
YSET=Settle through the
Alternate Settlement
System/Method
Seq. E
22F::SETS//
Data Source Scheme codeword (identifies
the Issuer of a proprietary code). Possible
values:
• CCAS
• STRA
CCAS=Hong Kong
STRA=South Africa
CRST=UK and Ireland
Seq. E
22F::STAM//
71
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
46.
72
Stamp Duty Indicator
O
Comment
Encoding in MT
CRST
Four character codeword.
Possible values:
• FUSD
• HASD
• USTN
• GBAX
• GBBX
• GBCX
• GBDX
• GBEX
• GBFX
• GBGX
• GBHX
• GBIX
• IEJX
• GBLX
• GBMX
• GBNX
• GBOX
• GBPX
• IEQX
• GBRX
• GBSX
• GBTX
• GBUX
• GBVX
• GBWX
• GBXX
• IEYX
FUSD=Full Pay
HASD=Half Pay
USTN=Uncertificated
Securities Tax Not Applicable
GBAX =Change Of Trustee
GBBX =Transfer To Beneficiary
Of Will
GBCX =Transfer In Intestacy
GBDX =Appropriation On
Death
GBEX =Confirmation Of
Traditional Option
GBFX =Hedge Against
Traditional Option
GBGX =Transfer On Marriage
GBHX =Transfer On Divorce
GBIX =Transfer On Liquidation
IEJX =Irish exempt, CCP
clearing related relief claimed
GBLX =Gift Inter Vivos
GBMX =Death (Varying
Disposition)
GBNX =Result Of Automatic
Transformation
GBOX =Transfer To/From
Nominee
GBPX =0.5% ad valorem
SDRT
IEQX =Irish exempt, for any
other reason
Seq. E
22F::STAM//
GBRX =1.5% ad valorem
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
•
•
•
•
•
•
•
IE1X
GB2X
GB3X
GB4X
GB5X
GB6X
GB7X
IE8X
Comment
Encoding in MT
SDRT
GBSX =Transfer To Exempt
Charity
GBTX =SDRT paid inside
CREST on another CREST
transaction
GBUX =stamp duty paid
outside CREST
GBVX =NCBO-NCLO
(including pure de- or rematerialisation)
GBWX =Issuing House
Exemption On New Issue
GBXX =Contra Trade Linked
To A Settled Transaction
IEYX =Irish exempt, no change
in beneficial ownership (NCBO)
IE1X =Irish 1% ad valorem
(exact percentage)
GB2X =Transfer Result Of
Corporate Action
GB3X =Intra-Group Transfer, A
Letter Of Direction Executed
GB4X =stock loan return or
transfer of DBV collateral
GB5X =Letter Of Direction
Executed
GB6X =AUT merger or
AUT/OEIC
conversion/amalgamation
GB7X =Security On An
Overseas Branch Register
IE8X =Irish Exempt, New Issue
All GB & IE codes are taken
from the UK&IE S&R Market
19 November 2010
73
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
Practice document on
www.smpg.info. The GB
codes all mean ‘no SDRT
liability’ except GBRP and
GBRX. The full explanation
of these codes is in the
CREST ISO Standard
Interface Data Exchange
Manual and in Stamp Duty
Reserve Tax in CREST, A
Guide to Market Practice
both available on
www.euroclear.com
Other Trade Details
(to be continued)
47.
48.
49.
74
Place of Trade -Type
Place of Trade -MIC
or Narrative
Trade Details Reporting Indicator
O
O
O
Four character codeword.
Possible values:
• EXCH
• OTCO
• PRIM
• SECM
EXCH=Stock Exchange
OTCO=Over the Counter
PRIM=Primary Market
SECM=Secondary Market
Place at which the order was traded. If
Type is EXCH, then must be a MIC (Market
Identifier Code For example, XNYS for New
York Stock Exchange), else can be text
(Maximum 30 characters not starting or
ending with a slash ‘/’, not containing a
double slash ‘//’)
List of valid MICs is on
www.iso15022.org, under ‘ISO
10383 MIC’
Four character codeword.
Possible values:
• DEFR
• EXCH
• TRRE
DEFR=Deferred Report
EXCH=Stock Exchange
TRRE=Trade Details Reported
Seq. B
94B::TRAD//
(Place Code)
Seq. B
94B::TRAD//
(Narrative)
Seq. B
22F::RPOR/
(Indicator)
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
50.
51.
Field Name
Field Type
Input and Possible Values
Comment
Trade Details
Reporting Indicator
DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code). Possible
values :
• CRST
• LCHL
• HMRC
CRST =CrestCo
LCHL =The London Clearing
House
HMRC =Her Majesty’s
Revenues and Customs
Trade Transaction
Condition Indicator
O
Four character codeword.
Possible values:
• BCBL
• BCBN
• BCFD
• BCPD
• BCRO
• BCRP
• CBNS
• CCPN
• CDIV
• CRTS
• CWAR
• GTDL
• MAPR
• NEGO
• NMPR
• SPCU
• SPEX
• XBNS
• XCPN
• XDIV
• XRTS
• XWAR
BCBL=Board Lots
BCBN=Bad Names
BCFD=Form of Delivery
BCPD=Place of Delivery
BCRO=Result of Option When
Set
BCRP=Result of Repo When
Set
CBNS=Cum Bonus
CCPN=Cum Coupon
CDIV=Cum Dividend
CRTS=Cum Rights
CWAR=Cum Warrants
GTDL=Guaranteed Delivery
MAPR=Market Price
NEGO=Negociated Trade
NMPR=Non-Market Price
SPCU=Special Cum Dividend
SPEX=Special Ex Dividend
XBNS=Ex Bonus
XCPN=Ex Coupon
XDIV=Ex Dividend
XRTS=Ex Rights
XWAR=Ex Warrants
19 November 2010
Encoding in MT
Seq. B
22F::RPOR/ (Data
Source Scheme)
Seq. B
22F::TTCO//
75
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
52.
Instruction Processing
Additional Information
O
10*35 characters.
(cannot contain end-of-line characters)
Only used in India market
practice
Seq. B
70E::SPRO//
53.
FX Instructions
Additional Information
O
10*35 characters (cannot contain end-of-line
characters)
Only used in India market
practice
Seq. B
70E::FXIN//
O
Indicates if Deal Price (if present) is
expressed as an amount or as a
percentage. Possible values :
• AMNT
• PRCT
AMNT =Amount
PRCT=Percentage
None
NA
Four character codeword.
Possible values
• DISC
• PRCT
• PREM
• YIEL
DISC=Discount = nr. of
percentage points below par
PRCT=Percentage of par
PREM=Premium = nr. of
percentage points above par
YIEL=Yield
Seq. B
90A::DEAL//
(Percentage Type
Code)
Four character codeword.
Possible values:
• ACTU
• DISC
• PREM
ACTU=Actual Amount = cash
amount per unit or per share
DISC=Discount
PREM=Premium
Seq. B
90B::DEAL//
(Amount Type
Code)
Seq. B
90A::DEAL//
(Price) or
90B::DEAL//
(Price)
Amount Details
(to be continued)
54.
55.
56.
57.
Deal Price as Amount
or Percentage ?
Deal Price –
Percentage Type
Code
O
Deal Price - Amount
Type Code
O
Deal Price
O
Price of the traded financial instrument.
When present, field ‘Deal Price – Amount or
Percentage ?’ must indicate if this is to be
interpreted as an amount or percentage,
and either field ‘Deal Price – Percentage
Type Code’ or field ‘Deal Price - Amount
Type Code’ must be present to indicate how
to interpret the price.
15d decimal number
76
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
58.
Deal Price -Currency
C
Three character currency
Mandatory when ‘Deal Price’ is present, and
‘Deal Price – Amount or Percentage?’ is set
to Amount. Else not allowed.
Comment
Encoding in MT
Seq. B
90B::DEAL//
(Currency Code)
59.
Currency To Buy
O
Three character currency code
Only allowed in Deliver
instructions
Seq. B
11A::FXIB//
60.
Currency To Sell
O
Three character currency code
Only allowed in Receive
instructions
Seq. B
11A::FXIS//
61.
Deal Amount
O
15d decimal number
Seq. E3
19A::DEAL//
(Amount)
62.
Deal Amount
Currency
C
Three character currency code
Mandatory when Deal Amount is present
Seq. E3
19A::DEAL//
(Currency Code)
63.
Executing Broker's
Amount
O
15d decimal number
Seq. E3
19A::EXEC//
(Amount)
64.
Executing Broker's
Amount Currency
C
Three character currency code
Mandatory when Executing Broker’s Amount
is present
Seq. E3
19A::EXEC//
(Currency Code)
65.
Accrued Interest
Amount
O
15d decimal number
Seq. E3
19A::ACRU//
(Amount)
66.
Accrued Interest
Currency
C
Three character currency code
Mandatory when Accrued Interest Amount is
present
Seq. E3
19A::ACRU//
(Currency Code)
67.
Charges/Fees
Amount
O
15d decimal number
Seq. E3
19A::CHAR//
(Amount)
68.
Charges/Fees
Currency
C
Three character currency code
Mandatory when Charges/Fees Amount is
present
Seq. E3
19A::CHAR//
(Currency Code)
69.
Payment Levy Tax
Amount
O
15d decimal number
Seq. E3
19A::LEVY//
(Amount)
19 November 2010
77
Alliance Lite - 2.0
CSV
Colu
mn
70.
Field Name
Field Type
Input and Possible Values
Payment Levy Tax
Currency
C
Three character currency code
Comment
Mandatory when Payment Levy Tax Amount
is present
71.
Local Tax Amount
O
15d decimal number
72.
Local Tax Currency
C
Three character currency code
Mandatory when Local Tax Amount is
present
73.
Other Amount
O
15d decimal number
74.
Other Amount
Currency
C
Three character currency code
Mandatory when Other Amount is present
75.
Stamp Duty Amount
O
15d decimal number
76.
Stamp Duty Currency
C
Three character currency code
Mandatory when Stamp Duty Amount is
present.
77.
Stamp Duty Included
in Settlement
Amount?
O
Possible values :
• Y - Yes
• N -No
Indicates if the Settlement
Amount includes the Stamp
Duty Amount or not
Encoding in MT
Seq. E3
19A::LEVY//
(Currency Code)
Seq. E3
19A::LOCL//
(Amount)
Seq. E3
19A::LOCL//
(Currency Code)
Seq. E3
19A::OTHR//
(Amount)
Seq. E3
19A::OTHR//
(Currency Code)
Seq. E3
19A::STAM//
(Amount)
Seq. E3
19A::STAM//
(Currency Code)
Seq. E3
17B::STAM//
Seq. E2
95P::BENM//
Seq. E2
97A::CASH//
Cash Parties
(to be continued)
78.
79.
78
Beneficiary of Money
- BIC
O
Beneficiary of Money
- Cash Account
Number
O
BIC (8 or 11 characters)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
Maximum 35 characters
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
80.
Field Name
Field Type
Input and Possible Values
Account With
Institution - BIC
O
Financial institution that services the cash
account of the beneficiary customer, if other
than the receiver of the message.
Comment
BIC (8 or 11 characters)
Encoding in MT
Seq. E2
95P::ACCW//
Seq. E2
97A::CASH//
Seq. E2
95P::PAYE//
Seq. E2
97A::CASH//
None
NA
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
81.
Account With
Institution Cash
Account Number
O
Maximum 35 characters
82.
Paying Institution BIC
O
Party from whose account the payment
needs to be done if different from the
sender's account.
BIC (8 or 11 characters)
(*) if empty, possibly specified with non-BIC
type of ID - see Alternative Identifications)
83.
Paying Institution
Cash Account
Number
O
Maximum 35 characters
O
Indicates how the financial instrument is
identified. Possible values :
• ISIN
• INDT
• BOTH
(if empty, then the default is ISIN)
Alternative
Identifications
84.
Financial Instrument –
ID Option
ISIN=ISIN code
INDT=Description
BOTH=Both an ISIN and a
description
If left empty or set to ISIN or to
Both, then column 7 ‘Financial
Instrument (ISIN)’ must contain
the ISIN.
For non-ISIN identifiers like
19 November 2010
79
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
CUSIP, SEDOL , choose INDT.
85.
Financial Instrument –
Description Line 1
O
Only allowed if Financial Instrument – ID
Option is set to INDT or BOTH.
Maximum 35 characters
a CUSIP is preceded by /US/
as first characters on Line 1
a SEDOL is preceded by /GB/
as first characters on Line 1
Other national numbers are
preceded by /cc/ with cc the 2character country code as first
characters on Line 1
A ticker symbol is preceded by
/TS/ as first characters on Line
1
Seq. B
35B:
Seq. B
35B:
Seq. B
35B:
Seq. B
35B:
86.
Financial Instrument –
Description Line 2
O
Maximum 35 characters
87.
Financial Instrument –
Description Line 3
O
Maximum 35 characters
88.
Financial Instrument –
Description Line 4
O
Maximum 35 characters
89.
Place of Safekeeping
– ID Option
O
Type of ID for Place of Safekeeping.
Possible values :
• PLCD
• CNTR
PLCD=Place narrative
CNTR=Country Code
If set to PLCD, then ‘Place of
Safekeeping – Narrative’ must
be present.
If set to CNTR, then ‘Place of
Safekeeping – Country’ must
be present.
None
NA
90.
Place of Safekeeping
- Narrative
O
30 characters
Only allowed when ID Option is
PLCD
Seq. C
94B::SAFE//SSHE
/ (Narrative)
91.
Place of Safekeeping
- Country
O
Two character country code
Only allowed when ID Option is
CNTR
Seq. C
94C::SAFE//
(Country)
80
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
92.
Field Name
Field Type
Input and Possible Values
Comment
Place of Settlement ID Option
O
Type of ID for Place of Settlement. Possible
values :
• NAAD
• CNTR
NAAD=Name and Address
CNTR=Country Code
If left empty, then column 15
‘Place of Settlement – BIC’
must be present.
If set to NAAD, then ‘Place of
Settlement – Name’ must be
present.
If set to CNTR, then ‘Place of
Settlement – Country’ must be
present.
Encoding in MT
None
NA
93.
Place of Settlement Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::PSET//
94.
Place of Settlement –
Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::PSET//
95.
Place of Settlement –
Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::PSET//
96.
Place of Settlement –
Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::PSET//
97.
Place of Settlement Country
O
2 character country code
Only allowed when ID Option is
CNTR
Seq. E1
95C::PSET//
98.
Receiving Agent - ID
Option
O
Possible values :
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
None
NA
99.
Receiving Agent Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::REAG//
100.
Receiving Agent –
Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::REAG//
19 November 2010
81
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
101.
Receiving Agent –
Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::REAG//
102.
Receiving Agent Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::REAG//
103.
Receiving Agent DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::REAG/ (Data
Source Scheme)
104.
Receiving Agent Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::REAG/
(Proprietary Code)
105.
Receiving Agent Alternate ID - Type
O
Four characters codeword. Possible values :
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE/ (Type
of ID)
Seq. E1
95S::ALTE/
(Country Code)
Seq. E1
95S::ALTE/
(Alternate ID)
None
NA
Seq. E1
95Q::DEAG//
106.
Receiving Agent Alternate ID - Country
O
Two character country code
107.
Receiving Agent Alternate ID
O
30 characters (not starting or ending with a
slash)
108.
Delivering Agent - ID
Option
O
Possible values:
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
Delivering Agent Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
109.
82
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
110.
Delivering Agent Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DEAG//
111.
Delivering Agent Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DEAG//
112.
Delivering Agent Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DEAG//
113.
Delivering Agent DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::DEAG/ (Data
Source Scheme)
114.
Delivering Agent Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::DEAG/
(Proprietary Code)
115.
Delivering Agent Alternate ID - Type
O
Four characters (see list of allowed values)
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE/
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE/
(Proprietary Code)
None
NA
116.
Delivering Agent Alternate ID - Country
O
Two character country code
117.
Delivering Agent Alternate ID
O
30 characters (not starting or ending with a
slash)
118.
Buyer - ID Option
O
Possible values :
• NAAD
• PROP
19 November 2010
NAAD=Name and Address
PROP=Proprietary Code
83
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
119.
Buyer - Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::BUYR//
120.
Buyer - Address Line
1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::BUYR//
121.
Buyer - Address Line
2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::BUYR//
122.
Buyer - Address Line
3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::BUYR//
123.
Buyer - DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::BUYR/ (Data
Source Scheme)
124.
Buyer - Proprietary
Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::BUYR/
125.
Buyer - Alternate ID Type
O
Four character codeword. Possible values:
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE/
(Proprietary Code)
None
NA
126.
Buyer - Alternate ID Country
O
Two character country code.
127.
Buyer - Alternate ID
O
30 characters (not starting or ending with a
slash)
128.
Seller - ID Option
O
Possible values:
• NAAD
• PROP
84
NAAD=Name and Address
PROP=Proprietary Code
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
129.
Seller - Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::SELL//
130.
Seller - Address Line
1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::SELL//
131.
Seller - Address Line
2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::SELL//
132.
Seller - Address Line
3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::SELL//
133.
Seller - DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::SELL/ (Data
Source Scheme)
134.
Seller - Proprietary
Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::SELL/
(Proprietary Code)
135.
Seller - Alternate ID Type
O
Four character codeword. Possible values :
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE/
(Proprietary Code)
None
NA
136.
Seller - Alternate ID Country
O
Two character country code.
137.
Seller - Alternate ID
O
30 characters (not starting or ending with a
slash).
138.
Receiver's Custodian
- ID Option
O
Possible values:
• NAAD
• PROP
19 November 2010
NAAD=Name and Address
PROP=Proprietary Code
85
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
139.
Receiver's Custodian
- Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::RECU//
140.
Receiver's Custodian
- Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::RECU//
141.
Receiver's Custodian
- Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::RECU//
142.
Receiver's Custodian
- Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::RECU//
143.
Receiver's Custodian
- DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::RECU/ (Data
Source Scheme)
144.
Receiver's Custodian
- Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::RECU/
(Proprietary Code)
145.
Receiver's Custodian
- Alternate ID - Type
O
Four characters codeword. Possible values :
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE/
(Proprietary Code)
146.
Receiver's Custodian
- Alternate ID Country
O
Two character country code.
147.
Receiver's Custodian
- Alternate ID
O
30 characters (not starting or ending with a
slash)
86
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Deliverer's Custodian
- ID Option
O
Possible values:
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
149.
Deliverer's Custodian
- Name
O
Maximum 35 characters (not starting or
ending with a slash)
150.
Deliverer's Custodian
- Address Line 1
O
151.
Deliverer's Custodian
- Address Line 2
152.
148.
Encoding in MT
None
NA
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DECU//
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DECU//
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DECU//
Deliverer's Custodian
- Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E1
95Q::DECU//
153.
Deliverer's Custodian
- DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E1
95R::DECU/ (Data
Source Scheme)
154.
Deliverer's Custodian
- Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E1
95R::DECU/
(Proprietary Code)
155.
Deliverer's Custodian
- Alternate ID - Type
O
Four characters codeword. Possible values :
• ARNU
• CCPT
• CHTY
• CORP
• DRLC
• FIIN
• TXID
ARNU=Alien Registration
Number
CCPT=Passport Number
CHTY=Tax Exempt
Identification Number
CORP=Corporate Identification
DRLC=Drivers License Number
FIIN=Foreign Investment
Identity Number
TXID=Tax Identification
Number
Seq. E1
95S::ALTE//
Seq. E1
95S::ALTE//
156.
Deliverer's Custodian
- Alternate ID Country
19 November 2010
O
Two character country code
87
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
157.
Deliverer's Custodian
- Alternate ID
O
30 characters (not starting or ending with a
slash)
158.
Investor - ID Option
O
Possible values:
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
Encoding in MT
Seq. E1
95S::ALTE/
(Proprietary Code)
None
NA
159.
Investor - Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. F
95Q::INVE//
160.
Investor – Address
Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. F
95Q::INVE//
161.
Investor – Address
Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. F
95Q::INVE//
162.
Investor – Address
Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. F
95Q::INVE/
163.
Investor - DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. F
95R::INVE/ (Data
Source Scheme)
164.
Investor -Proprietary
Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. F
95R::INVE//
(Proprietary Code)
165.
Investor - Country
O
Two character country code
Seq. F
95C::INVE//
166.
Beneficiary of Money
- ID Option
O
Possible values:
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
None
NA
167.
Beneficiary of Money
- Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::BENM/
168.
Beneficiary of Money
- Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::BENM//
88
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
Comment
Encoding in MT
169.
Beneficiary of Money
- Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::BENM//
170.
Beneficiary of Money
- Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::BENM//
171.
Beneficiary of Money
- DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E2
95R::BENM/ (Data
Source Scheme)
172.
Beneficiary of Money
- Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E2
95R::BENM/
(Proprietary Code)
173.
Account With
Institution - ID Option
O
Possible values:
• NAAD
• PROP
NAAD=Name and Address
PROP=Proprietary Code
None
NA
174.
Account With
Institution -Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::ACCW//
175.
Account With
Institution –Address
Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::ACCW//
176.
Account With
Institution -Address
Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::ACCW//
177.
Account With
Institution - Address
Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::ACCW//
178.
Account With
Institution - DSS
O
Eight characters Data Source Scheme code
Only allowed when ID Option is
PROP
Seq. E2
95R::ACCW/
(Data Source
Scheme)
179.
Account With
Institution Proprietary Code
O
30 characters (not starting or ending with a
slash)
Seq. E2
95R::ACCW/
(Proprietary Code)
180.
Paying Institution - ID
Option
O
Possible values:
• NAAD
None
NA
19 November 2010
NAAD=Name and Address
PROP=Proprietary Code
89
Alliance Lite - 2.0
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
•
Comment
Encoding in MT
PROP
181.
Paying Institution Name
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::PAYE//
182.
Paying Institution Address Line 1
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::PAYE//
183.
Paying Institution Address Line 2
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::PAYE//
184.
Paying Institution Address Line 3
O
Maximum 35 characters (not starting or
ending with a slash)
Only allowed when ID Option is
NAAD
Seq. E2
95Q::PAYE//
185.
Paying Institution DSS
O
Data Source Scheme codeword (identifies
the Issuer of a proprietary code).
Only allowed when ID Option is
PROP
Seq. E2
95R::PAYE/ (Data
Source Scheme)
186.
Paying Institution Proprietary Code
O
30 characters (not starting or ending with a
slash)
Only allowed when ID Option is
PROP
Seq. E2
95R::PAYE/
Seq. E3
:19A::LADT//
Seq. E3
:19A::LADT//
Seq. B
:94H::CLEA//
Seq. E2
:95P::DEBT//
Amount Details
(continued)
187.
Local Tax (Country
Specific 1) Amount
O
Maximum 15 digits, including a decimal
comma
188.
Local Tax (Country
Specific 1) Currency
C/M
Three character currency code
O
BIC (8 or 11 characters)
O
BIC (8 or 11 characters)
Other Trade Details
(continued)
189.
Place of Clearing
Place of Clearing
Cash Parties
(continued)
190.
90
Debtor BIC
CSV File Upload
Uploading Securities Settlement Instructions CSV Files
CSV
Colu
mn
Field Name
Field Type
Input and Possible Values
191.
Debtor Cash Account
Number
O
Maximum 35 characters
192.
Debtor ID Option
O
Allowed values are:
•
NAAD
•
PROP
Comment
Encoding in MT
Seq. E2
:97A::CASH//
NAAD=Name and Address
PROP=Proprietary Code
193.
Debtor Name
C/M
Maximum 35 characters
Only allowed when ID Option is
NAAD
Seq. E2
:95Q::DEBT//
194.
Debtor Address Line
1
O
Maximum 35 characters
Only allowed when ID Option is
NAAD
Seq. E2
:95Q::DEBT//
195.
Debtor Address Line
2
O
Maximum 35 characters
Only allowed when ID Option is
NAAD
Seq. E2
:95Q::DEBT//
196.
Debtor Address Line
3
O
Maximum 35 characters
Only allowed when ID Option is
NAAD
Seq. E2
:95Q::DEBT//
197.
Debtor DSS
C/M
Eight characters Data Source Scheme code
Only allowed when ID Option is
PROP
Seq. E2
95R::ACCW/
(Data Source
Scheme)
198.
Debtor Proprietary
Code
C/M
Maximum 34 characters
Seq. E2
:95R::DEBT/
19 November 2010
91
Alliance Lite - 2.0
Appendix A
A.1
Character Sets
Introduction
This section provides details of the character sets used for Securities and Funds messages:
-
For Securities (MT) the character set is the SWIFT X character set, without the opening curly
bracket {, closing curly bracket }, and carriage return/line feed characters, which are not
allowed in CSV fields that use the SWIFT X character set.
For Funds (MX) the character set is ‘Basic Latin (ASCII)’ , without the carriage return/line
feed and control characters, which are not allowed in CSV fields.
Some fields have additional restrictions, for example, they are not allowed to start with a slash /
character – these additional restrictions are listed in the tables below.
SWIFT X character set
The following are the characters available for the SWIFT X character set:
Character
Name
a – z
twenty six lower case letters of the Latin alphabet
A - Z
twenty six upper case letters of the Latin alphabet
0 - 9
ten numerical characters
/
slash
-
hyphen
?
question mark
:
colon
(
open parentheses
)
close parentheses
.
full stop
,
comma
`
apostrophe
+
plus
Space
92
CSV File Upload
Appendix A
Basic Latin (ASCII) character set
This consists of all characters of the X character set with the addition of:
Name
Character
19 November 2010
=
equals
!
exclamation mark
"
quotation mark
%
percent
&
ampersand
*
asterisk
<
less than
>
more than
;
semi-colon
@
at
#
hash
$
dollar
{
open curly bracket
}
close curly bracket
[
left square bracket
]
right square bracket
\
back slash
_
under score
^
circumflex
`
grave accent
|
vertical line
~
tilde
93
Alliance Lite - 2.0
Legal Notices
Copyright
SWIFT © 2010. All rights reserved.
You may copy this publication within your organisation. Any such copy must include these legal notices.
Confidentiality
This publication contains SWIFT or third-party confidential information. Do not disclose this publication outside your
organisation without the prior written consent of SWIFT.
Disclaimer
The information in this publication may change from time to time. You must always refer to the latest available
version on www.swift.com.
Translations
The English version of SWIFT documentation is the only official and binding version.
Trademarks
SWIFT is the trade name of S.W.I.F.T. SCRL. The following are registered trademarks of SWIFT: SWIFT, the SWIFT
logo, 3SKey, Innotribe, Sibos, SWIFTNet, SWIFTReady, and Accord. Other product, service, or company names in
this publication are trade names, trademarks, or registered trademarks of their respective owners.
94
CSV File Upload