JR/T 0046.1: Evolution and historical versions
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(Securities and Futures Industry and Interbank Business Data Exchange Agreement - Part 1: Three-party Depository, Bank-Future Transfer, and Foreign Exchange Settlement and Sale Business)
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JR/T 0046.1-2020
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| JR/T 0046-2009 | English | RFQ |
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Structure and desin rules of message tupe in data exchange between bank and securities and future industry
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JR/T 0046-2009
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PDF similar to JR/T 0046.1-2020
Basic data | Standard ID | JR/T 0046.1-2020 (JR/T0046.1-2020) | | Description (Translated English) | (Securities and Futures Industry and Interbank Business Data Exchange Agreement - Part 1: Three-party Depository, Bank-Future Transfer, and Foreign Exchange Settlement and Sale Business) | | Sector / Industry | Finance Industry Standard (Recommended) | | Classification of Chinese Standard | A11 | | Word Count Estimation | 122,137 | | Date of Issue | 2020-07-10 | | Date of Implementation | 2020-07-10 | | Older Standard (superseded by this standard) | JR/T 0046-2009 | | Regulation (derived from) | CSRC Announcement (2020) No. 40 | | Issuing agency(ies) | People's Bank of China | JR/T 0046.1-2020: (Securities and Futures Industry and Interbank Business Data Exchange Agreement - Part 1: Three-party Depository, Bank-Future Transfer, and Foreign Exchange Settlement and Sale Business)
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Data exchange standard between securities and futures industry and banking-Part 1.third-party depository,account transfer and exchange settlement
ICS 03.060
A11
JR
People's Republic of China Financial Industry Standards
Replace JR/T 0046-2009
Agreement on Data Exchange between Securities and Futures Industry and Bank Business
Part 1.Three-Party Depository, Bank-Future Transfer
And foreign exchange settlement and sales
2020-07-10 release
2020-07-10 Implementation
Issued by China Securities Regulatory Commission
Table of contents
Foreword...VI
1 Scope...1
2 Normative references...1
3 Terms and definitions...1
4 Process analysis...2
4.1 Session synchronization...2
4.2 Sign-in initiated by the securities and futures side...2
4.3 Initiating sign-off on the securities futures side...3
4.4 Account signing initiated by the bank...4
4.5 Initiating account signing on the securities futures side...5
4.6 Initiating account pre-signing on the securities futures side...6
4.7 Confirmation of pre-signing on bank side...7
4.8 Bank end initiates account cancellation...8
4.9 Initiating account cancellation on the securities futures side...9
4.10 Securities and futures end initiated registration currency code...10
4.11 Securities and futures end initiated account information modification...11
4.12 Securities futures end initiates account status change...12
4.13 Initiating Account Information Query on Securities Futures Terminal...13
4.14 Initiating account balance inquiry on the bank side...14
4.15 Initiating account balance inquiry on the securities futures side...15
4.16 Bank-side initiation of bank-to-certificate transfer business...16
4.17 Initiating bank-to-certificate transfer business on the securities futures side...17
4.18 Bank-side initiates securities-to-bank transfer business...19
4.19 Securities and Futures End Initiation of Securities to Banking Business...20
4.20 Bank side initiates the reversal business...21
4.21 Securities and futures side initiates the reversal business...22
4.22 Initiating interest settlement business at the bank...23
4.23 Initiating interest settlement business on the securities futures side...24
4.24 Query of transaction results initiated by the bank...26
4.25 Initiating transaction result query on securities futures side...27
4.26 Initiating fund exchange transactions on the futures side...28
4.27 The futures end initiates a fund exchange reissue transaction...29
4.28 Initiating exchange details on the futures end...30
4.29 Initiating exchange summary query on the futures side...32
4.30 Initiating exchange rate query on the futures end...33
4.31 Bank end initiates day-end reconciliation service...35
5 Message Message...36
5.1 Basic structure...36
5.2 Message body list...38
5.3 Message Message...39
5.4 Session Message...40
5.5 Session Receipt...41
5.6 Account signing...41
5.7 Account signing response...43
5.8 Account termination...43
5.9 Account termination response...44
5.10 Modify Account Information...45
5.11 Account information modification response...45
5.12 Account Information Query...46
5.13 Account query response...47
5.14 Transfer...48
5.15 Transfer response...49
5.16 Transfer reversal...50
5.17 Transfer reversal response...51
5.18 Querying Transfer Results...51
5.19 Inquiry response to transfer results...52
5.20 Settlement...53
5.21 Settlement response...54
5.22 Real-time reconciliation...55
5.23 Real-time reconciliation response...56
5.24 Data ready at the end of the day...58
5.25 Day-end data ready receipt...58
5.26 End of day business...59
5.27 Day business end receipt...59
5.28 Start of day business...60
5.29 Day business start receipt...61
5.30 File Operations...61
5.31 File Operation Receipt...63
5.32 Funds exchange transactions...64
5.33 Fund Exchange Response Message...65
5.34 Inquiry of Exchange Details...66
5.35 Inquiry response to exchange details...66
5.36 Currency exchange summary query...67
5.37 Exchange summary query response...68
5.38 Exchange rate query...68
5.39 Exchange rate inquiry response...69
5.40 Exchange log reconciliation file...69
6 Business component types...70
6.1 Message header...70
6.2 Return results...71
6.3 Serial number)...71
6.4 Organization Information...71
6.5 Customer Information...71
6.6 Key component)...72
6.7 Password component)...72
6.8 Agent Information...72
6.9 Account)...72
6.10 Credential Information...73
6.11 Contact Information...73
6.12 Electronic Agreement Information...73
6.13 Balance component...74
6.14 File information...74
6.15 Account status details...74
6.16 Account status reconciliation result...74
6.17 Account transaction details...75
6.18 Account Transaction Reconciliation Results...75
6.19 Transfer details...75
6.20 Transfer and reconciliation results...76
6.21 Transfer summary reconciliation...76
6.22 Transfer summary and reconciliation results...77
6.23 Account balance details...77
6.24 Account balance reconciliation result...77
6.25 Swap transaction request domain component...78
6.26 Swap transaction result domain component)...78
6.27 Swap details query result field component...79
6.28 Swap summary query result domain component...79
6.29 Exchange rate query result domain component...80
7 Business element types...80
7.1 Contact code...80
7.2 Signing method code...81
7.3 Country code...81
7.4 Currency code...81
7.5 Language codes...82
7.6 Gender code...82
7.7 Organization Type Code...82
7.8 Key Type Code...83
7.9 Password type code...83
7.10 Encryption method code...83
7.11 Certificate Type Code...84
7.12 Customer category code...85
7.13 Account Type Code...85
7.14 Account Status Code...85
7.15 Depository status codes...86
7.16 Remittance logo...86
7.17 Balance Type Code...86
7.18 Settlement Type Code...87
7.19 Delegate authority code...87
7.20 Application system type code...87
7.21 Fee payment code...88
7.22 Currency exchange business type code...88
7.23 Swap direction code...88
7.24 Whether to mark...89
7.25 Business Function Code...89
7.26 File business function codes...90
7.27 Return codes...91
7.28 Organization Code...96
7.29 Trading venue code...97
7.30 Summary...97
8 Basic data types...97
8.1 Amount...97
8.2 Value...97
8.3 Date and time...98
8.4 Text...99
Appendix A (Normative Appendix) End-of-Day Data Interface Specification...103
A.1 Data file format convention...103
A.2 Function description of end-of-day file...103
A.3 Field Description of the End-of-Day File...105
A.4 Description of the end-of-day file format...106
A.4.1 Transfer transaction details and reconciliation files...106
A.4.2 Client account status reconciliation file...107
A.4.3 Account type transaction details reconciliation file...107
A.4.4 Client funds account balance detailed reconciliation file...108
A.4.5 Customer fund account balance reconciliation result...108
A.4.6 Client margin trading and securities lending transaction details reconciliation file (CHK05)...109
A.4.7 Account balance reconciliation result of client margin financing and securities lending funds (DIF05)...109
A.4.8 Customer Bank Transfer Transaction Details Reconciliation File (CHK21)...110
A.4.9 Other reconciliation abnormal result files...111
A.4.10 Customer Net Interest Settlement Details...111
A.4.11 Client funds settlement detailed documents...112
A.4.12 Funds settlement summary documents between settlement entities...112
A.4.13 Depository Bank Funds Settlement Summary Document...112
A.4.14 Summary Sheet of Funds Settlement Between Banks of Legal Person Depository Banks...113
A.4.15 A-share fund settlement summary table of legal depository banks...113
A.4.16 Summary Table of Funds Settlement of Legal Person Depository Bank's Open-End Fund...113
A.4.17 End-of-day reconciliation documents for exchange transactions...113
Foreword
JR/T 0046-2020 "Agreement on Data Exchange between Securities and Futures Industry and Banking Business" is divided into two parts.
--Part 1.Three-party depository, bank-to-future transfer, and foreign exchange settlement and sale services;
--Part 2.Yinji business and Yinyan business.
This part is part 1 of JR/T 0046-2020.
This part is drafted in accordance with the rules given in GB/T 1.1-2009.
This part replaces JR/T 0046-2009 "The Message Body Structure and Design Rules for Data Exchange between Securities and Futures Industry and Banking Business", and is in line with JR/T
Compared with 0046-2009, the main technical changes except for editorial changes are as follows.
a) The standard name was revised to "Securities and Futures Industry and Interbank Business Data Exchange Agreement Part 1.Three-Party Depository, Bank-Futures Transfer and Settlement
Foreign Exchange Sales";
b) Further expand the scope of application of the standard to cover related businesses such as tripartite depository, bank-to-future transfers, margin financing and securities lending, and foreign exchange settlement and sale of futures;
c) In the design process, new business analysis, demand analysis and logic analysis processes for various business processes have been added;
d) In terms of message body structure, new business messages, business components and business elements based on XML technology have been added.
This part was proposed by the Securities Sub-Technical Committee of the National Financial Standardization Technical Committee (SAC/TC180/SC4).
This part is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180).
Drafting organizations of this section. China Securities Regulatory Commission Information Center, Shanghai Stock Exchange Technology Co., Ltd., China Securities Information Technology Service
Limited Liability Company, Shenzhen Securities Communication Co., Ltd., Shanghai Futures Information Technology Co., Ltd., Shanghai Financial Futures Information Technology Co., Ltd.,
Hang Seng Electronics Co., Ltd., Shenzhen Jinzheng Technology Co., Ltd., Fujian Xinyi Technology Co., Ltd.
The main drafters of this section. Yao Qian, Liu Tiebin, Zhou Yunhui, Huang Tianshou, Wang Yongfeng, Wang Meng, Huacheng, Lin Guobiao, Huang Lv, Wang Hua,
Xu Cheng, Zhang Chao, Xu Langming, Zhan Xiaohong.
Securities and Futures Industry and Interbank Business Data Exchange Agreement Part 1.Tripartite Depository, Banking and Futures
Transfer and foreign exchange settlement and sales
1 Scope
This part of JR/T 0046 specifies the process analysis, message messages, and business components of the business data exchange agreement between the securities and futures industry and the bank
Type, business element type and basic data type.
This part is applicable to the third-party depository of settlement funds for transactions between the securities and futures industry and interbank customers, bank-to-future transfers, margin trading and securities lending, and futures foreign exchange settlement and sales
Design and use of data exchange message body and data dictionary for other services.
2 Normative references
The following documents are indispensable for the application of this document. For dated reference documents, only the dated version applies to this document.
For undated references, the latest version (including all amendments) applies to this document.
GB/T 2659-2000 Code for names of countries and regions in the world (ISO 3166-1.1997, eqv)
GB/T 4880.2-2000 Language name codes Part 2.3-letter codes (ISO 639-2.1998, eqv)
GB/T 12406-2008 represents currency and funds code (ISO 4217.2001, IDT)
GB 18030-2005 Information Technology Chinese Coded Character Set
GB/T 23696-2017 Securities and related financial instruments exchange and market identification code (ISO 10383.2012, MOD)
3 Terms and definitions
The following terms and definitions apply to this document
3.1
Element
A data domain composed of basic data, business elements, and business components.
3.2
Basic data
Data with the smallest granularity that cannot be subdivided.
3.3
Business element
Simple elements that describe business activities.
Note. Including account status, customer category, country code, currency code, etc.
3.4
Business components
Composed of basic data, business elements and other business components, it describes the complex elements of business activities.
Note. Including account information, customer information, file information, etc.
3.5
Data package
Communication messages transmitted by the two parties in the conversation at the session layer.
3.6
Message body
Corresponding to the application layer, embedded in the data packet, a message describing business activities.
3.7
Business element
Composed of elements, embedded in the message body, describing the basic content of business activities.
4 Process analysis
4.1 Session synchronization
Before the data exchange business between the banking industry and the securities and futures industry is processed, the bank and securities and futures systems need to synchronize the relevant state of the system.
Then complete the subsequent business processing, including sign-in, sign-out, and initiate business data exchange requests. The specific sequence is shown in Figure 1.
Figure 1 Application session life cycle sequence diagram
4.2 Sign-in initiated by the securities and futures side
4.2.1 Business Analysis
The securities futures end initiates the sign-in, and the securities futures end sends a message to the bank. After the bank receives the message and checks it, it completes the sign-in approval.
And reply to the securities and futures terminal sign-in results and work keys and other information.
4.2.2 Demand analysis
Figure 2 Requirement analysis process for sign-in initiated by the securities and futures end
As shown in Figure 2, the securities and futures end sends a sign-in message. After the bank end receives the sign-in message, it performs internal authentication and verification.
Send the sign-in response message, and the securities futures end will perform internal processing after receiving the sign-in response message.
4.2.3 Logical analysis
Figure 3 Logical analysis process of sign-in initiated by the securities futures end
As shown in Figure 3, the securities futures side sends a sign-in message, and the bank side sends a response message after processing. If an exception is returned, securities futures
The end re-initiates the service request.
4.3 Securities and futures end initiates sign-off
4.3.1 Business Analysis
The securities futures end sends a sign-off message to the bank. After the bank receives the sign-off message and inspects it, it completes the sign-off approval and sends it to the securities futures end.
Feedback the check-out result.
4.3.2 Demand analysis
Figure 4 Requirement analysis process for initiating sign-off on the securities futures side
As shown in Figure 4, the securities and futures end sends a sign-off message to the bank. After receiving the sign-off message, the bank performs internal authentication and verification.
After passing, send a sign-off response message. After receiving the sign-off response message, the securities futures end performs internal processing.
4.3.3 Logical analysis
Figure 5 Logical analysis process of the securities futures end initiating sign-off
As shown in Figure 5, the securities and futures end sends a sign-off message to the bank, and the bank returns a response message after processing. If an exception is returned, the securities
The futures end re-initiates the business request.
4.4 Bank-side initiated account signing
4.4.1 Business Analysis
The bank initiates an account signing, and the bank sends a signing message. After receiving the signing message, the securities futures end performs internal authentication and verification and sends
The bank sends back the response information.
4.4.2 Demand analysis
Figure 6 Requirement analysis process for bank-side initiated account signing
As shown in Figure 6, the bank initiates an account signing and sends a signing message to the securities futures end. After the securities futures end is successfully verified, it returns to the signing agreement.
Function information, otherwise return the sign failure information.
4.4.3 Logical analysis
Figure 7 Logical analysis process of bank side initiating account signing
As shown in Figure 7, the bank initiates an account contract, and the securities futures end processes it and returns a response message. If an exception is returned, the bank will resend
Start a business request.
4.5 Initiating account signing on the securities futures side
4.5.1 Business Analysis
The securities futures end initiates account signing, the securities futures end sends a message to notify the bank, and the bank completes after receiving the message sent by the securities futures end
Sign the contract and reply to the processing result message information on the securities and futures side.
4.5.2 Demand analysis
Figure 8 The demand analysis process of initiating account signing on the securities futures end
As shown in Figure 8, the securities and futures end initiates account signing. If the bank end verifies successfully, it returns the account signing success message. If the bank end verifies
After the exception, the account contract failure information will be returned.
4.5.3 Logical analysis
Figure 9 Logical analysis process of initiating account signing on the securities futures end
As shown in Figure 9, the securities futures end initiates account signing, and the bank returns a response message after processing.
Initiate a new business request.
4.6 Securities and futures end initiates account pre-signing
4.6.1 Business Analysis
The securities futures end initiates account pre-signing, and the securities futures end sends a pre-signing message to the bank. After the bank receives the message notification, it temporarily hangs
Up. After the customer goes to the bank to handle the counter, the signing is completed and the signing information is fed back to the securities and futures terminal.
4.6.2 Demand analysis
Figure 10 The demand analysis process of initiating account pre-signing on the securities futures end
As shown in Figure 10, the securities futures end initiates account pre-signing, if the bank end verification is successful, it will return the pre-signing success message, otherwise it will return to the pre-signature
About failure information.
4.6.3 Logical analysis
Figure 11 Logical analysis process of initiating account pre-signing on the securities futures end
As shown in Figure 11, after the securities futures end initiates a pre-signature, if the bank returns an exception, the securities futures end initiates a business request again.
4.7 Pre-signing confirmation at the bank
4.7.1 Business Analysis
The bank completes the pre-signing confirmation and sends a confirmation message to the securities futures end. After the securities futures end receives it, it completes the confirmation process and sends it to the bank
The end sends a reply message.
4.7.2 Demand analysis
Figure 12 The demand analysis process for pre-signing confirmation at the bank
As shown in Figure 12, the bank initiates the account pre-signing confirmation, and if the securities and futures terminal is verified correctly, it will return the pre-signing confirmation success message, otherwise
Return the pre-subscription confirmation failure message.
4.7.3 Logical analysis
Figure 13 The logic analysis process of the bank-side pre-signing confirmation
As shown in Figure 13, the bank initiates a pre-signing confirmation, and the securities futures end returns a response message after processing.
Initiate a business request.
4.8 Bank end initiates account cancellation
4.8.1 Business Analysis
The bank initiates account termination, and the bank sends a termination instruction to the securities futures side. After verification, the securities futures side returns whether the termination conditions are met.
If the conditions are met, the contract will be terminated successfully, otherwise the contract will fail.
4.8.2 Demand analysis
Figure 14 Requirement analysis process of bank end initiating account cancellation
As shown in Figure 14, the bank initiates account termination. If the securities and futures side verify successfully, it will return the information that satisfies the termination processing, and the bank side will complete the settlement.
If the verification fails on the securities and futures side, the termination failure message will be returned.
4.8.3 Logical analysis
Figure 15 Logical analysis process of bank end initiating account termination
As shown in Figure 15, the bank initiates account termination, and the securities futures end processes it and returns a response message. If the return is abnormal, the bank re-initiates
Business request.
4.9 Initiating account cancellation on the securities futures end
4.9.1 Business Analysis
The securities futures end initiates the account cancellation service, and the securities futures end sends a cancellation message to the bank after the cancellation operation is completed, and the bank receives the cancellation
The contract cancellation operation is completed after the contract message.
4.9.2 Demand analysis
Figure 16 The demand analysis process of initiating account cancellation on the securities futures end
As shown in Figure 16, the securities and futures end initiates account cancellation. If the bank end verification is successful, it will return the cancellation success message, otherwise it will return the cancellation failure
information.
4.9.3 Logical analysis
Figure 17 The logical analysis process of the securities futures end initiating account termination
As shown in Figure 17, the securities futures end initiates account cancellation, and the bank returns a response message after processing. If the return is abnormal, the securities futures end restarts
Initiate a business request.
4.10 Securities and futures end initiated registration currency code
4.10.1 Business Analysis
The securities and futures end initiates the registration of the currency code, and sends the registration currency message to the bank. After the bank receives the message, it completes the currency registration and sends it to the securities
The futures end feeds back processing result message information.
4.10.2 Demand analysis
Figure 18 The demand analysis process of the securities and futures end initiating the registration of the currency code registration
As shown in Figure 18, the securities and futures end initiates the registration of the currency code. If the bank end verification is successful, the currency code registration success message will be returned, no
Then return the registration failure information.
4.10.3 Logical analysis
Figure 19 The logical analysis process of the securities and futures end initiating the registration of the currency code registration
As shown in Figure 19, the securities futures end initiates currency code registration, and the bank returns a response message after processing. If an exception is returned, the securities futures
The end re-initiates the service request.
4.11 Securities and futures end initiated account information modification
4.11.1 Business Analysis
The securities futures end sends an account information modification message to the bank, and the bank changes the customer information after receiving the message, and sends a feedback to the securities futures end
Reply message.
4.11.2 Demand analysis
Figure 20 The demand analysis process for initiating account data modification on the securities futures end
As shown in Figure 20, the securities and futures end initiates the modification of customer account information, and the bank end checks successfully and returns the modification success message, otherwise it returns to the modification
Failure information.
4.11.3 Logical analysis
Figure 21 The logic analysis process of the securities and futures end initiating account data modification
As shown in Figure 21, the securities futures end initiates the modification of customer account information, and the bank returns a response message after processing.
The cargo end re-initiates the business request.
4.12 Securities and futures end initiated account status changes
4.12.1 Business Analysis
After the account status of the securities futures terminal is changed, the securities futures terminal sends a status change message to the bank, and the bank terminal changes the client account after receiving the message
User status, and send a response message to the securities futures end.
4.12.2 Demand analysis
Figure 22 T...
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