| Standard ID | Contents [version] | USD | STEP2 | [PDF] delivered in | Standard Title (Description) | Status | PDF |
| GB/T 39595-2020 | English | RFQ |
ASK
|
3 days [Need to translate]
|
Open-ended fund business data exchange protocol
| Valid |
GB/T 39595-2020
|
PDF similar to GB/T 39595-2020
Basic data | Standard ID | GB/T 39595-2020 (GB/T39595-2020) | | Description (Translated English) | Open-ended fund business data exchange protocol | | Sector / Industry | National Standard (Recommended) | | Classification of Chinese Standard | A11 | | Classification of International Standard | 03.060 | | Word Count Estimation | 218,258 | | Date of Issue | 2020-12-14 | | Date of Implementation | 2021-07-01 | | Regulation (derived from) | National Standard Announcement No. 28 of 2020 | | Issuing agency(ies) | State Administration for Market Regulation, China National Standardization Administration | GB/T 39595-2020: Open-ended fund business data exchange protocol---This is a DRAFT version for illustration, not a final translation. Full copy of true-PDF in English version (including equations, symbols, images, flow-chart, tables, and figures etc.) will be manually/carefully translated upon your order.
(Open-end fund business data exchange protocol)
ICS 03:060
CCSA11
National Standards of People's Republic of China
Open-end fund business data exchange protocol
2020-12-14 release
2021-07-01 implementation
State Administration for Market Regulation
Issued by the National Standardization Management Committee
Table of contents
Preface Ⅶ
Introduction Ⅷ
1 Scope 1
2 Normative references 1
3 Terms and definitions 1
4 Information exchange format 3
4:1 Description 3
4:2 Information header 3
4:3 Information Body 4
4:4 Message tail 4
5 Basic requirements 4
5:1 Data Type 4
5:2 Data processing 5
6 Business type code 5
7 Business exchange data items 7
7:1 Description 7
7:2 Account opening application (001), account information modification application (003) 7
7:3 Account opening confirmation (101) 12
7:4 Application for cancellation of account (002), application for cancellation of trading account (009) 13
7:5 Account cancellation confirmation (102), account information modification confirmation (103), fund account freezing confirmation (104), fund account unfreezing
Confirmation (105), Confirmation of Fund Account Card Loss Report (106), Confirmation of Fund Account Card Unlinking (107), Add Trading Account
Confirmation (108), cancellation of transaction account confirmation (109) 14
7:6 Application for freezing of fund account (004) 16
7:7 Application for Unfreezing Fund Account (005), Application for Unlinking Fund Account Card (007) 17
7:8 Application for Reporting Loss of Fund Account Card (006) 18
7:9 Application for adding trading account (008) 18
7:10 Application for Change of Trading Account (058) 20
7:11 Confirmation of Change of Transaction Account (158) 21
7:12 Subscription application (020), appointment subscription application (021) 21
7:13 Subscription confirmation (120), subscription confirmation (121) 22
7:14 Subscription application (022), appointment subscription application (023), regular fixed-amount subscription application (039) 24
7:15 Subscription confirmation (122), regular fixed-amount subscription confirmation (139) 26
7:16 Reservation confirmation (123) 28
7:17 Redemption application (024), regular fixed-amount redemption application (063), appointment redemption application (025) 29
7:18 Redemption confirmation (124), regular fixed-amount redemption confirmation (163), forced redemption confirmation (142) 31
7:19 Appointment redemption confirmation (125) 34
7:20 Transfer fund seller/institution application (026), transfer fund seller/institution transfer application (027), transfer fund seller/institution
Transfer out application (028) 36
7:21 Transfer fund seller/institution confirmation (126), transfer fund seller/institution transfer confirmation (127), transfer fund seller/institution
Transfer out confirmation (128) 38
7:22 Application for setting dividend method (029) 40
7:23 Confirmation of setting dividend method (129) 41
7:24 Subscription results (130) 42
7:25 Application for freezing of fund shares (031) 44
7:26 Confirmation of freezing of fund shares (131) 44
7:27 Application for thawing of fund shares (032) 46
7:28 Confirmation of unfreezing of fund shares (132) 47
7:29 Non-transactional transfer application (033), non-transactional transfer-in application (034), non-transactional transfer-out application (035) 48
7:30 Non-transaction transfer confirmation (133), non-transaction transfer transfer confirmation (134), non-transaction transfer transfer confirmation (135) 49
7:31 Fund Conversion Application (036), Fund Conversion and Transfer-in Application (037), Fund Conversion and Transfer-out Application (038) 51
7:32 Fund conversion confirmation (136), fund conversion and transfer confirmation (137), fund conversion and transfer confirmation (138) 53
7:33 Bonus/bonus reinvestment distribution (143) 56
7:34 Forced increase (144), forced decrease (145) 59
7:35 Allocation (146) 61
7:36 Failed to raise (149) 62
7:37 Fund liquidation (150), fund termination (151) 63
7:38 Order cancellation (052), appointment cancellation (053) 64
7:39 Cancellation confirmation (152), cancellation confirmation (153) 65
7:40 Invalid funds (054) 66
7:41 Fund seller's fund liquidation (155) 67
7:42 Liquidation of investor funds (156) 69
7:43 Bonus thawing confirmation (157) 72
7:44 Regular fixed-amount subscription opening application (059), regular fixed-amount subscription cancellation application (060) 72
7:45 Confirmation of regular fixed-amount subscription opening (159), confirmation of regular fixed-amount subscription cancellation (160) 74
7:46 Modification Application for Regular Fixed Amount Subscription (061) 76
7:47 Confirmation of regular fixed-amount subscription modification (161) 77
7:48 Subscription adjustment application (062) 78
7:49 Subscription adjustment confirmation (162) 80
7:50 Fund Co-branded Card Opening Application (067), Fund Co-branded Card Revocation Application (068) 81
7:51 Confirmation of opening of joint fund card (167), confirmation of withdrawal of joint fund card (168) 82
7:52 Points Confirmation (169) 83
7:53 Notice of District Code Change (070) 85
7:54 Application for confirmation of rights (080) 85
7:55 Confirmation of rights (180) 88
7:56 Fast transfer application (098) 89
7:57 Quick transfer confirmation (198) 90
7:58 Fund pledge application (088) 92
7:59 Fund pledge confirmation (188) 93
7:60 ETF subscription application (091) 94
7:61 ETF redemption application (093) 94
7:62 One confirmation of ETF subscription (191) 96
7:63 Second confirmation of ETF subscription (192) 98
7:64 ETF redemption once confirmed (193) 100
7:65 ETF redemption second confirmation (194) 102
7:66 Summary data of transactions between TA and fund sellers 103
7:67 Summary data of TA and fund seller parameters 145
8 Data Dictionary 155
Appendix A (normative) File mode interface and communication specification 182
A:1 Organizational structure of the data file summary between TA and fund sellers 182
A:2 File encryption and digital signature technology 187
Appendix B (normative) Return code value and meaning comparison 188
Table 1 Information header format 4
Table 2 Message body format 4
Table 3 Data Type 5
Table 4 Types of open-end fund business 5
Table 5 Account Information Data 8
Table 6 Account opening confirmation data 13
Table 7 Cancellation/Cancellation of Transaction Account Application Data 13
Table 8 Account confirmation data 15
Table 9 Fund account freezing application data 16
Table 10 Account Unfreezing/Account Card Unlinking Application Data 17
Table 11 Application data for reporting the loss of fund account card 18
Table 12 Added transaction account application data 19
Table 13 Application data for changing transaction account 20
Table 14 Change transaction account confirmation data 21
Table 15 Subscription application data 21
Table 16 Subscription confirmation data 23
Table 17 Subscription application data 25
Table 18 Subscription confirmation data 26
Table 19 Reservation confirmation data 29
Table 20 Redemption application data 30
Table 21 Redemption confirmation data 31
Table 22 Appointment redemption confirmation data 35
Table 23 Application data of transfer fund seller/institution 36
Table 24 Confirmation data of transfer fund seller/institution 38
Table 25 Application data for setting dividend method 40
Table 26 Confirmation data for setting dividend method 41
Table 27 Subscription result data 42
Table 28 Application data for freezing of fund shares 44
Table 29 Confirmation data of freezing of fund shares 45
Table 30 Application data for thawing of fund shares 46
Table 31 Confirmation data of unfreezing of fund shares 47
Table 32 Non-transactional transfer application data 48
Table 33 Non-transaction transfer confirmation data 50
Table 34 Application data for fund switching 52
Table 35 Fund conversion confirmation data 53
Table 36 Bonus/bonus reinvestment data 57
Table 37 Forced increase/decrease data 59
Table 38 Numbering data 61
Table 39 Data on failed recruitment 62
Table 40 Fund Liquidation/Termination Data 63
Table 41 Order Cancellation/Reservation Order Data 64
Table 42 Cancellation of order/withdrawal of reservation confirmation data 65
Table 43 Data of invalid funds 66
Table 44 Fund seller's fund clearing data 68
Table 45 Investor Funds Clearing Data 70
Table 46 Bonus thawing confirmation data 72
Table 47 Application data of regular fixed-rate registration opening/cancelling 73
Table 48 Regular quota registration/deregistration confirmation data 74
Table 49 Application data for periodic fixed quota revision 76
Table 50 Confirmation data of regular quota revision 77
Table 51 Subscription adjustment application data 78
Table 52 Subscription adjustment confirmation data 80
Table 53 Application data of fund co-branded card activation/revocation 81
Table 54 Confirmation data of fund co-branded card activation/revocation 83
Table 55 Points confirmation data 84
Table 56 Area code change notification data 85
Table 57 Application data for confirmation of rights 85
Table 58 Confirmation data 88
Table 59 Data of Fast Transfer Application 90
Table 60 Fast transfer confirmation data 91
Table 61 Fund pledge application data 92
Table 62 Fund pledge confirmation data 93
Table 63 ETF Subscription Application 94
Table 64 ETF Redemption Application 95
Table 65 One-time confirmation of ETF subscription 96
Table 66 Second confirmation of ETF subscription 98
Table 67 ETF redemption once confirmed 100
Table 68 Second confirmation of ETF redemption 102
Form 69 Account Application 103
Table 70 Account Confirmation 107
Table 71 Transaction Application 108
Table 72 Transaction Confirmation 112
Table 73 Fund account reconciliation data 118
Table 74 Dividend data 119
Table 75 Fund dynamic information data 121
Table 76 Announcement data 126
Table 77 Dividend summary data 127
Table 78 Summary data of daily delivery 127
Table 79 Business Application Summary Data 131
Table 80 Business confirmation summary data 131
Table 81 Business application summary data 132
Table 82 Participants and settlement seat data 133
Table 83 Other application data 133
Table 84 Other types of confirmation data 135
Table 85 Funds Clearing Data 137
Table 86 Wealth management product share breakdown data 139
Table 87 Electronic contract application data 141
Table 88 E-contract confirmation data 143
Table 89 Fund basic parameters 146
Table 90 Fund Agency Relationship 150
Table 91 Fund Conversion Relationship 151
Table 92 Fund Dividend Plan 152
Table 93 Fund rate 153
Table 94 Documents on the redeemable date of wealth management products 155
Table 95 Data dictionary 156
Table A:1 Index file format 182
Table A:2 Data file format 183
Table A:3 TA receiving agent file 184
Table A:4 TA sending agent file 185
Table A:5 Document Type and Business Type Comparison Table 186
Table B:1 Values and meanings of transaction processing return codes 188
Foreword
This document is in accordance with the provisions of GB/T 1:1-2020 "Guidelines for Standardization Work Part 1: Structure and Drafting Rules of Standardization Documents"
Drafting:
Please note that certain contents of this document may involve patents: The issuing agency of this document is not responsible for identifying patents:
This document was submitted by the People's Bank of China:
This document is under the jurisdiction of the National Financial Standardization Technical Committee (SAC/TC180):
Drafting organizations of this document: China Securities Regulatory Commission, China Securities Depository and Clearing Co:, Ltd:, China Securities Information Technology Services
Limited Liability Company, China Asset Management Co:, Ltd:, Industrial and Commercial Bank of China Co:, Ltd:, Agricultural Bank of China Co:, Ltd:, China
China Construction Bank Corporation, Bank of China Corporation Limited, China Merchants Bank Corporation Limited, China Securities Investment Fund Association:
The main drafters of this document: Yao Qian, Dai Wenhua, Wu Xiaoyong, Liu Tiebin, Kong Qingwen, Fan Yu, Wang Kai, Zhou Yunhui, Song Xiaodong, Wang Chaoyang,
Fang Kun, Liu Dahai, Chen Honghu, Sun Hongwei, Wang Meng, Meng Fankuo, Zhang Yuanqi, Wang Xinbo, Hu Yan, Han Junwei, Wang Xuan, Kang Peng, Zhou Bo, Wang Xinyi,
Lu Jingya, He Fei, E Xiaojun, Lao Weixiong, Zhou Yiqi, Tang Qiang, Zou Gang, Qian Xiangyang, Liu Yucheng:
Introduction
It has been many years since the publication of JR/T 0017-2012 "Open-end Fund Business Data Exchange Agreement":
Many new products and functions have been expanded in the field of funds: This document is based on JR/T 0017-2012:
The product or business innovation of all-market securities investment funds in the gold industry should be appropriately expanded to form a new data exchange agreement:
Open-end fund business data exchange protocol
1 Scope
This document specifies the information exchange format, basic requirements, and business types for data exchange between various institutions in the open-end fund business:
Code, business exchange data items and data dictionary:
This document is applicable to data exchange between fund managers, registrants, fund sellers, fund custodians, etc:
2 Normative references
The contents of the following documents constitute indispensable clauses of this document through normative references in the text: Among them, dated quotations
Only the version corresponding to the date is applicable to this document; for undated reference documents, the latest version (including all amendments) is applicable to
This document:
GB/T 1988-1998 Seven-bit coded character set for information technology exchange
GB/T 2260-2007 The administrative division code of the People's Republic of China
GB/T 2261:1-2003 Classification and codes of basic personal information Part 1: Gender codes of people
GB/T 2261:2-2003 Classification and codes of basic personal information Part 2: Codes for marital status
GB/T 2659-2000 Codes for names of countries and regions in the world
GB/T 4754-2017 Classification of National Economic Industries
GB/T 7408-2005 Data element and exchange format information exchange date and time representation
GB/T 12406 represents the code of currency and funds
GB/T 13000-2010 Information Technology Universal Multi-octet Coded Character Set (UCS)
3 Terms and definitions
The following terms and definitions apply to this document:
3:1
Open-ended fund
The total size of fund units or shares is not fixed, and fund units or shares are sold to investors at any time, and they can be redeemed at the request of investors
Funds and collective asset management plans for fund units or shares issued outside:
3:2
Fundbusinessparty
All institutions and individuals related to fund business processing:
3:2:1
Fundmanager
A fund management company that engages in investment fund management in accordance with the law:
|