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Interface specification for fund industry central data backup
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GB/T 39662-2020
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Basic data | Standard ID | GB/T 39662-2020 (GB/T39662-2020) | | Description (Translated English) | Interface specification for fund industry central data backup | | Sector / Industry | National Standard (Recommended) | | Classification of Chinese Standard | A11 | | Classification of International Standard | 03.060 | | Word Count Estimation | 130,135 | | 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 39662-2020: Interface specification for fund industry central data backup---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.
(Interface Specification for Centralized Backup of Fund Industry Data)
ICS 03:060
CCSA11
National Standards of People's Republic of China
Interface Specification for Centralized Backup of Fund Industry Data
2020-12-14 release
2021-07-01 implementation
State Administration for Market Regulation
Issued by the National Standardization Management Committee
Table of contents
Preface Ⅴ
1 Scope 1
2 Normative references 1
3 Terms and definitions 1
4 Information exchange format 4
4:1 Description 4
4:2 Information header 5
4:3 Information Body 5
4:4 Message tail 5
4:5 Data reporting mechanism 6
4:5:1 Explanation of data submitted by public funds 6
4:5:2 Explanation of data submitted by private equity funds 6
4:5:3 Other instructions 6
5 Data interface 6
5:1 Data Type 6
5:2 Data processing 6
5:3 Interface file name 7
5:4 TA business code 7
5:5 Business data items 9
5:5:1 Description 9
5:5:2 Account opening confirmation business (101) 10
5:5:3 Account cancellation confirmation business (102) 14
5:5:4 Customer data modification confirmation business (103) 15
5:5:5 Cancellation of transaction account confirmation (109) 18
5:5:6 Confirmation of change of trading account (158) 19
5:5:7 Subscription business data items (120) 20
5:5:8 Subscription result business data items (130) 21
5:5:9 Subscription business data items (122) 23
5:5:10 Periodic fixed-amount subscription business data items (139) 25
5:5:11 Transactional open-end index fund (ETF) one-time subscription business data items (191) 28
5:5:12 ETF secondary purchase business data items (192) 29
5:5:13 Redemption business data items (124), regular fixed-amount redemption business data items (163) 32
5:5:14 Mandatory redemption of business data items (142) 34
5:5:15 ETF one-time redemption business data item (193) 37
5:5:16 ETF secondary redemption business data items (194) 39
5:5:17 Scheduled redemption business data items (125) 41
5:5:18 Business data items of cancellation orders (153) 44
5:5:19 Transfer escrow business data items (126) 46
5:5:20 Transferred-in business data items (127) 48
5:5:21 Transfer and outgoing business data items (128) 49
5:5:22 Set dividend method business data items (129) 51
5:5:23 Share freezing business data items (131) 52
5:5:24 Share unfreezing business data items (132) 53
5:5:25 Non-transactional transfer business data items (133) 55
5:5:26 Non-transactional transfer business data items (135) 57
5:5:27 Non-transactional transfer and entry business data items (134) 58
5:5:28 Fund conversion business data items (136) 59
5:5:29 Funds switch out of business data items (138) 62
5:5:30 Conversion of funds into business data items (137) 63
5:5:31 Dividend business data items (143) 65
5:5:32 Increasing business data items (144) 67
5:5:33 Mandatory reduction of business data items (145) 68
5:5:34 The business data item of opening a regular quota agreement (159) 69
5:5:35 Cancellation of the business data items of the periodic quota agreement (160) 71
5:5:36 Change the business data items of the periodic quota agreement (161) 72
5:5:37 Proportional placement failure (149) 73
5:6 File summary data items 75
5:6:1 Account Information Notification (92) 75
5:6:2 Transaction Confirmation (94) 80
5:6:3 Share reconciliation (95) 84
5:6:4 Dividend information (96) 85
5:6:5 Fund TA Parameters (T1) 87
5:6:6 Fund operation information (T2) 89
5:6:7 Tax calculation parameters for cross-border funds (G1) 90
Appendix A (Normative) Interface file specification data type description 92
A:1 Interface file specification data type description 92
A:2 Data processing rules 92
A:3 File organization structure 92
A:4 Data index file name 92
A:5 Data Index File Format 92
A:6 Data file name 93
A:7 Data file format 93
Appendix B (Normative) Data Dictionary 95
Appendix C (Normative) Data transmission time 121
Appendix D (Normative) Description of daily data submission 121
Table 1 Information header content column 5
Table 2 Information body content column 5
Table 3 Data Type 6
Table 4 The system receives TA files 7
Table 5 TA Support Business Table 8
Table 6 Account opening confirmation data 10
Table 7 Account cancellation confirmation data 14
Table 8 Customer data modification confirmation data 15
Table 9 Cancellation of transaction account confirmation data 18
Table 10 Change of transaction account confirmation data 19
Table 11 Confirmation data of subscription business 20
Table 12 Subscription result business confirmation data 21
Table 13 Confirmation data of subscription business 23
Table 14 Confirmation data of regular fixed-amount subscription business 26
Table 15 ETF one-time subscription business confirmation data 28
Table 16 ETF secondary subscription business confirmation data 29
Table 17 Redemption business/regular fixed-amount redemption business confirmation data 32
Table 18 Compulsory redemption business confirmation data 34
Table 19 TF one-time redemption business confirmation data 37
Table 20 ETF second redemption business confirmation data 39
Table 21 Confirmation data of appointment redemption business 41
Table 22 Business Confirmation Data of Cancellation Order 44
Table 23 Confirmation data of transfer escrow business 46
Table 24 Confirmation data for transfer of custody and inbound business
Table 25 Confirmation data of transfer and outgoing business 49
Table 26 Business confirmation data for setting dividend method 51
Table 27 Confirmation data of share freezing business 52
Table 28 Business confirmation data of share unfreezing 53
Table 29 Non-transaction transfer business confirmation data 55
Table 30 Business confirmation data of non-transaction transfer 57
Table 31 Business confirmation data of non-transaction transfer 58
Table 32 Confirmation data of fund switching business 60
Table 33 Confirmation data of fund conversion out of business 62
Table 34 Confirmation data of fund conversion into business 63
Table 35 Dividend business confirmation data 65
Table 36 Confirmation data of forced increase business 67
Table 37 Confirmation of forced reduction of business data 68
Table 38 Confirmation data of opening fixed-term agreement business 70
Table 39 Cancellation of fixed-term agreement business confirmation data 71
Table 40 Business confirmation data for change of fixed-term agreement 72
Table 41 Business Confirmation Data of Proportional Placing Failure 73
Table 42 Account Information Notification 75
Table 43 Transaction Confirmation 80
Table 44 Share reconciliation 84
Table 45 Dividend Information 85
Table 46 Fund TA Parameters (T1) 87
Table 47 Fund Operation Information (T2) 89
Table 48 Tax calculation parameters of cross-border funds (G1) 90
Table A:1 Data Index File Format 92
Table A:2 Data file format 93
Table B:1 Data Dictionary 95
Table C:1 Data transmission time point description 121
Foreword
This document is in accordance with the provisions of GB/T 1:1-2020 Standardization Guidelines 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 Securities Investment Fund Association, China Asset Management Co:, Ltd:, Industrial and Commercial Bank of China, China Agricultural
Industrial Bank Co:, Ltd:, China Construction Bank Co:, Ltd:, Bank of China Co:, Ltd:, China Merchants Bank Co:, Ltd:
The main drafters of this document: Yao Qian, Dai Wenhua, Hong Lei, Wu Xiaoyong, Liu Tiebin, Kong Qingwen, Fan Yu, Zhong Rongsa, Wang Kai, Zhou Yunhui,
Song Xiaodong, Wang Chaoyang, Fang Kun, Liu Dahai, Chen Honghu, Sun Hongwei, Li Xiangdong, Xiong Xin, Tang Yueyue, Meng Fankuo, Zhang Yuanqi, Wang Xinbo, Hu Zhen,
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:
Interface Specification for Centralized Backup of Fund Industry Data
1 Scope
This document specifies the data used by securities investment fund registration institutions to submit daily business data to the central data exchange platform
Exchange format and data interface:
This document is applicable to fund managers, registrants, etc:, to centrally backup fund industry data to the central data exchange platform:
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 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 12406-2008 represents the code of currency and funds
GB/T 13497-1992 National Clearing Center Code
GB/T 39595-2020 Open-end fund business data exchange protocol
3 Terms and definitions
The following terms and definitions defined in GB/T 39595-2020 apply to this document: For ease of use, the following is repeated
Certain terms and definitions in GB/T 39595-2020:
3:1
Fundbusinessparty
All institutions and individuals related to fund business processing:
[Source: GB/T 39595-2020, 3:1]
3:1:1
Fundfounder-member
The establishment of a fund organization for the purpose of the establishment of the fund and in accordance with the prescribed establishment conditions and procedures:
3:1:2
Fundmanager
A fund management company that engages in investment fund management in accordance with the law:
[Source: GB/T 39595-2020, 3:2:1]
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