ISO (SWIFT) and XML instruction and report file formats
Contents
1. 4 4 File naming convention for the CreationDirect Technical Feedback report file 4 4 ISONPE DO rt HIMES MU C LUNG eet EDO DO D LLL 4 5 CreationDirectTOrmal uece tacet reet teris cese E eR uua Lug Kul ngo 4 5 Reder ONM Bb sacar seas vehatetcanscaanuntenin E a N 4 5 ISO message TIT a a EEE E EEEa A EEEE EA E a E 4 5 TEINE TONN eci ae a AES 4 5 Example of a CreationDirect format report file 4 6 Giovannini File Transfer Rulebook XML Header sse 4 7 header Io MO E LLL Im 4 7 FEA eto DID RETE ELI EIE 4 7 ISDiiessddes css eet OMM E IMEEM LE E 4 7 Example of a GFT Rulebook header report file ccceeceseceeeeeeeeeeeeeeeeeeeeeeeeeseeeees 4 8 Terimsand conditions file manning CONVENUO Niessenen ieesanteqesedetsstness 4 9 5 XME Report SSC CAINS 5 1 XML report file naming CONVENTIONS ciccsecesiederepeceesdocsscacesidaeeseceesiaeesndiedsaecdscacesdeceesdaceveaeestencescacts 5 1 XMiEireportdrouptbss dea iota vates mte teer dea eua du cto te tei esum ee b teues beste retia erben atenta oid ntes 5 2 Example MT950 Cash Balances lt CashBalRepBundle sess 5 2 Appendix A Glossary of XML attributes eeeeeeeeeeeeeeeeeeeeenen nnne A 1 October 2012 Clearstream Banking Luxembourg iv ISO SWIFT and XML instruction and report file formats 1 Handling ISO instruction files This section describes the structure of the header and trailer records2. 1 If the syntax validation of the file is successful and the list of financial instruments can be applied to the customer s report subscription a status file with the following naming convention is sent card status CUSTREPNAM OK ENDPERIOD BDATE xml where CUSTREPNAM is the name customers gave the report at subscription in CreationOnline OK indicates a successful validation status ENDPERIOD is the system time HHMM format BDATE is the business date YYYYMMDD format A successful file contains OK plus the number of Financial Instruments received If the syntax validation of the file is unsuccessful and the syntax validation of the file content failed a status file with the following naming convention is sent card status CUSTREPNAM NOK ENDPERIOD BDATE xml where NOK indicates an unsuccessful validation status An unsuccessful file contains NOK plus the relevant error message s If the file is syntactically correct but contains one or more invalid ISIN or Common Codes the entire file is rejected If no Report Subscription exists for an input file a status file with the following naming convention is sent card status CUSTREPNAM NOSUB ENDPERIOD BDATE xml where NOSUB indicates an unsuccessful validation status Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats Output file The report is produced every business day before 06 00 CET and is sent to the customers
3. ISO files transmitted via the specified address If a particular report exceeds the size limit for ISO messages it will be split into as many messages as are necessary A scheduled report may be requested for more than one account number In this case the messages are grouped by account number within report schedule Available ISO Messages types Below are the ISO message types supported by CreationDirect Clearing and settlement reports MT508 Intra Position Advice MT544 Receive free confirmation MT545 Receive against payment confirmation MT546 Deliver free confirmation MT547 Deliver against payment confirmation MT548 Settlement Status and Processing Advice MT578 Settlement Allegements Report 1 Use CreationOnline to schedule requests for the retrieval of reports via CreationOnline CreationDirect or Creation via SWIFT Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 4 1 Securities statements MT535 Statement of Holdings report MT536 Statement of Transactions report MT537 Statement of Pending Transactions report MT538 Statement of Intra Position Advices MT586 Statement of Settlement Allegements report Cash statements and reports MT900 910 Confirmation of Debit Credit MT940 Money Suspense Report MT942 Interim Money Suspense Report MT950 Money Statement MT950 Cash Balance report MTn95 Query Message Negative Validation Feedback Custody reports MT564 Corporate Action Not
4. On all business reports the BIC address for Clearstream Banking in block 1 is always CEDELULLFXXX see Example of a CreationDirect format report file on page 4 6 Trailer format The trailer has the format 26 a13 n and values as follows 26la TRAILERCLEARSTREAM BANKING 13 n The number of SWIFT messages in the file right aligned with leading zeros for example 0000000000005 Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 4 5 Example of a CreationDirect format report file The example below shows an input file containing two MT535 messages HEADERCLEARSTREAM BANKING 1 FOLICEDELULLFXXX0000000000 2 05351755021202CEDELULLEXXX00000000000212021755N 3 108 REPORTSERVER 4 16R GENL 28E 1 ONLY 13A STAT 009 20C SEME 00000000Z802R 23G NEWM 98C 8TAT 20011113160000 22F SFRE INDA 22F CODE COMP 22F STTY CUST 22F STBA SETT 97A 98AFE 12345 17B ACTI N 17B CONS N 16S GENL 1 F01CEDELULLFXXX0000000000 2 05351756021202CEDELULLIXXX00000000000212021756N 3 108 REPORTSERVER 4 16R GENL 28E 1 ONLY 13A STAT 009 20C SEME 00000000Z8RXL 23G NEWM 98C STAT 20011113160000 22F SFRE INDA 22F CODE COMP 22F STTY CUST 22F STBA SETT 97A SAFE 12345 17B ACTI N 17B CONS N 16S GENL TRAILERCLEARSTREAM BANKING0000000000002 Oc
5. gt 76 000000 lt Bal gt lt CashBal section gt CashBal section actvFlg N gt Cashinstr isoCurrCd GBP gt Bal IstUpdTmstmp 2009 03 10T17 00 00 stUpdBusDt 2009 03 10 gt 452812 500000 lt Bal gt lt CashBal section gt CashBal section actvFlg N gt lt CashInstr isoCurrCd USD gt Bal IstUpdTmstmp 2009 03 10T17 00 00 stUpdBusDt 2009 03 10 gt 694572 000000 lt Bal gt lt CashBal section gt lt CashBalRep gt lt CashBalRep repTmpFig N xmlId 407495736 repFreq INTRADAY repMode COMPLETE tmstmp 2009 04 21113 41 47 gt CustRepOptSubscr tmplIdz 2253291 zeroBallnclFlg N schdIdz 2341500 antNetBalInclFlgz N tmplDetlid 2305501 gt RepSubscrNm MT950 CB ER25258 GFV RepSubscrNm lt CustRepOptSubscr gt lt Per gt PerStart busEvnt R18 busTime 16 30 00 dt 2009 03 10 gt lt PerEnd busEvnt R19 busTime 17 00 00 dt 2009 03 10 gt Account2 lt Per gt lt Acct gt lt AcctNm gt EUREX CLEARING AG lt AcctNm gt AcctId acctOrig CBL gt 11111 lt AcctId gt Acct lt CashBalRep gt lt CashBalRep repTmpFig N xmlId 407495740 repFreq INTRADAY repMode COMPLETE tmstmp 2009 04 217113 41 47 gt Account 1 October 2012 Clearstream Banking Luxembourg 5 2 ISO SWIFT and XML instruction and report file formats XML Attribute dacctOrig dactvCd dactvFlg daltidTyp dQamntPrcTyp davailCd abal Typ abusEvnt abusT
6. 22F and field 70E in sequence B Qualifier RTGS allowed only for internal instruction Technical error during processing of the message a This error message is new for the cash service Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 1 9 Example of a feedback file for a valid instruction file The example below shows a feedback file with a status 004 error message for the second instruction an MT543 message This instruction was rejected because option B was used instead of option A in field 97a Safekeeping Account in sequence C Financial Instrument Account HEADERCLEARSTREAM BANKING 1 F01CEDELULLAXXX0000000000 2 1540CEDELULLAXXXN 3 108 BANLULXXxx 4 16R GENL 20C SEME CHECK 53A1 23G NEWM 16S GENL 16R TRADDET 98A SETT 20010508 98A TRAD 20010504 35B ISIN HK0008009653 70E SPRO ab ADDPRTY 16S TRADDET 16R FIAC 36B SETT UNIT 10 97A SAFE 12345 16S FIAC 16R SETDET 22F SETR TRAD 16R SETPRTY 95P PSET HKSCHKH1 16S SETPRTY 16R SETPRTY 95Q DEAG BANK LTD 16S SETPRTY 16R SETPRTY 95Q SELL BANKB LTD 97A SAFE 12345 16S SETPRTY 16S SETDET 6 STATUS 000 0K 1 F01CEDELULLAXXX0000000000 2 I543CEDELULLAXXXN 3 108 BANK Xxxx 4 16R GENL 20C SEME 2310702 P3 23G NEWM 16S GENL 16R TRADDET 98A SETT 20010508 98A TRAD 20010504 35B ISIN DE0001025708 16S TRADDET 16R FIAC 36B SETT FAM
7. CreationDirect address The report has the following naming convention card output CUSTREPNAM FREG MODE ENDPERIOD BDATE TID EXT where e CUSTREPNAM is the Customer Report Name e FREQ is always DAILY MODEis either DELTA or COMPLETE e ENDPERIOD is the system time HHMM format e BDATE is the Business Date in format YYYYMMDD TID is the Clearstream Banking internal template identifier e EXT is either ISO PDF or XML Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 2 3 This page has intentionally been left blank October 2012 Clearstream Banking Luxembourg 2 4 ISO SWIFT and XML instruction and report file formats 3 French Financial Transaction Tax FTT Customers can submit FTT Declarations using their CreationDirect FileStore Valid declarations are then forwarded to Euroclear France The resulting FTT Status Message is automatically posted on the originating filestore The steps below must be followed 1 Input file Customers upload using CreationDirect via Internet a file containing the transactions they must declare under the French Financial Transactions Tax Upon receipt of the declaration the file is validated by Clearstream Incorrect files are rejected and a technical rejection is sent If the declaration is valid it is immediately forwarded to Euroclear France An FTT Status Message is then sent by Euroclear France notifying acceptan
8. FwdAvailBal HeldEncCollBal HeldEnclnsBal HeldFreeBal Description Custody quantity Corporate action reference Custody security instrument Custody Transfer account Our reference Custody Report Option subscription Deal price as amount Deal price as percentage Denomination currency Total holding value for currency Depository Place Safekeeping Place Name Default Processing flag Fractions Handling indicator Fractions Handling CA Option Distribution Type indicator Distribution type Dividend Type indicator Dividend type Date Interest detail Settlement cash amount Settled quantity Entitled quantity Event Type Exemption Code Exemption code name total Financial date Financial instrument account details Financial Instrument characteristic Financial instrument quantity CA Detail Financial Instrument Quantity code Financial instrument type Financial instrument rate CA Option Foreign exchange custody reference Foreign Exchange detail Foreign Exchange type New to Old Rate Intermediary Security Forward available balance Pledged for collateral Blocked for instructions Available Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats A 7 October 2012 XML Attribute HoldQty HoldVal IncPay IncPay Section IndAmntPrc IndPctPrc InsDetl InsDt InsInd IntAmnt IntermClsgBal IntermDt IntermDtCd IntermDtCdString IntermRate IntermSec IntermSecind IntRate In
9. Settlement transaction indicator type Place of safekeeping type Security Movement Sort date Standing instruction Status code Statement basis Statement type Store timestamp Sub function of message Sub report type SWIFT transaction type SWIFT message type Origin Take over type code CA Detail Payment amount type code Beneficial owner type Tax rate total Template ID Report generation timestamp Trade transaction condition type Trade type Transaction indicator type Value date Version number XML identifier Accrued interest October 2012 Clearstream Banking Luxembourg SO SWIFT and XML instruction and report file formats XML Attribute Acct AcctAbbr Acctld AcctNm AcctNmAddr Actv Actv list AggrBal AggrCashMveAmnt AggrTaxRate AllgmntRep list Altld AltldString AmendDt Amnt AntBal Bal BalAmnt BalSfkpng BalString BalVal BalValString BorrCrLinBal CAAddInfo CAAddNarr CAAmntPrc CACashMve CAConf CAConfAggrInfo CAConflnfo CAConfMsg CADetl CADetllnd CADt CADtCd CADtDayNbr CADtGrp CADtString CAEvntlnd CAEvntIndString CAInd Description Account Account abbreviation Account id Cash account name Account name and address Activity Activity states Fungible aggregate balance Aggregate cash movement Aggregate taxe rate List of all allegement instructions Alternative settlement party identifier Alternative settlement party identifier Amendment date Settled Amount Antic
10. Structure of instruction file envelope Header One or more ISO messages Trailer for transmission control Header format The header has the format 25 a and a fixed value as follows 25la HEADERCLEARSTREAM BANKING Header content The header comprises the following information please refer to the example presented below e A mandatory Basic header 1 FO1BANKLULLXXXX0000000000 where BANKLULL can be replaced by your BIC If you do not have a BIC you can use CEDELULL e A mandatory Application header 2 InnnCEDELULLXXXXN where nnn is the message type e An optional User header 3 108 message user reference where 108 can be followed by a message reference ISO messages The ISO messages and envelope should have the formats as defined by the standard ISO SWIFT messaging guidelines Note Messages must be concatenated with no separators Trailer format The trailer has the format 26 a13 n and values as follows 26la TRAILERCLEARSTREAM BANKING 13 n The number of ISO messages in the file right aligned with leading zeros for example 0000000000005 Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 1 3 Example of an CreationDirect format instruction file The example below shows an input file containing an MT540 message followed by an MT543 message HEADERCLEARSTREAM BANKING 1 FO1BANKLULLXXXX0000000000 2 1540CEDELULLXXXXN 3 108 message user re
11. fields 22F 23G 35B 95a Internal transaction type cannot be identified Invalid counterparty account number Invalid fees Sequence E3 field 19A SPCN Invalid field 70D in sequence C invalid nominal value Invalid field 70D in sequence C invalid number of nominal value Invalid format for tag 95Q Invalid format of field 95Q sequence E1 Invalid IS015022 Message Invalid option P Q or R of field 95 sub sequence E1 qualifier DEAG or REAG Invalid option in field 56a only option A is allowed Invalid option in field 56a only options A and D are allowed 2 Invalid option in field 57a only options A and D are allowed 2 Invalid price Sequence B field 90 Invalid qualifier in field 97 in sequence C Qualifier SAFE has not been found Invalid quantity Sequence C field 36B Invalid trade amount Sequence E3 field 19A DEAL Mandatory Field 97 option A not found in sequence E1 Message type not allowed Missing Account number either in 95R or in 97A SAFE Missing field 19A sequence E3 qualifier STAM Missing Field 94 place of trade sequence B Missing field 95 sequence E1 No internal bridge physical instruction allowed No settlement amount in this instruction Field 19A of sequence E3 not found No valid Security code found in field 35B Only one occurrence of sequence C is allowed in message MT54x Only option A of field 97 in sequence C must be used Place of Settlement unknown Priority incompatibility Invalid combination of field
12. in the advice of error message sent to the customer Correlation of the Feedback file to relevant instruction file The technical feedback file can be correlated to the relevant instruction file using the amp RFILE parameter For example if amp RFILE is set to TCHFBCK then the name of the technical feedback file will be TCHFBCK TXT For more details on using the amp RFILE parameter please refer to the CreationDirect User Manual Feedback file structure The structure of the feedback file depends upon the results of the instruction file validation e fthe instruction file is found to be valid the feedback file will have the same structure as the instructions file It will contain the same number of ISO messages as on the inbound file and its envelope will be exactly the same as that of the inbound file Additionally each ISO format instruction will have the results of its validation added to it The number of errors reported arising from this validation is limited to a maximum of ten errors per ISO format instruction e If the instruction file is found to be invalid it will contain just one message Valid instruction file If the instruction file is found to be valid each ISO message has the results of its validation added to it as a sixth block with format 6 STATUS 3 n 100x where 3 n 100x Status messages represents the status value represents the status description Possible values for the status message are as
13. reports the BIC address for Clearstream Banking in block 1 is always CEDELULLFXXX see Example of a CreationDirect format report file on page 4 6 Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 4 7 Example of a GFT Rulebook header report file lt xml version 1 0 encoding UTF 8 gt Exchange xmlns xsi http www w3 0rg 2001 XMLSchema instance xmlns xs http www w3 org 2001 XMLSchema gt 1 4 lt Header gt lt Sender gt lt Identifier gt CEDELULL lt Identifier gt lt Sender gt lt Receiver gt lt Identifier gt WEBX712001 lt Identifier gt lt Receiver gt lt Header gt lt PayloadDescription gt lt PayloadDetails gt lt Payloadidentifier gt 64059 CDI_MT537_ ISO 64059 STMNTOFPEND INTRADAY COMPLETE 1930 20080901 2207195 ISO XML PayloadIdentifier lt CreationDateAndTime gt 2008 10 31 16 09 58 lt CreationDateAndTime gt lt PayloadDetails gt lt PayloadTypeDetails gt lt Type gt 1IS015022 lt Type gt lt PayloadTypeDetails gt TechnicalInfo lt DocumentDelimiter gt lt DocumentDelimiter gt lt TechnicalInfo gt lt ManifestDetails gt lt NumberOfDocuments gt 1 lt NumberOfDocuments gt lt ManifestDetails gt lt PayloadDescription gt lt Payload gt lt Data gt FOLCEDELULLFXXX0000000000 2 01951730081017CEDELULLFXXX00000000000810171730N 20 02EC5NO00001 21 GFT CDI 103 9X1 75 Message Rejected Please rei
14. that must be added to the file that contains the instructions to be submitted to Clearstream Banking You prepare cash or securities instructions in ISO format and then add header and trailer records to this ISO envelope of messages Clearstream offers the choice of two different formats for the headers and trailers e CreationDirect proprietary format available on all CreationDirect channels e Giovannini File Transfer Rulebook format only available on CreationDirect via Internet and CreationDirect via FileAct The choice between the two formats can be specified by the customer during the address setup For CreationDirect via Internet this can be done in CreationOnline via a new flag in the Filestore settings For CreationDirect via FileAct the option is available via the main subscrition form Customers may also request to use the new Giovannini File Transfer header by sending an authenticated MT599 or by contacting the Connectivity Help Desk Once a format is specified on a CreationDirect Address it will apply to all Clearstream inbound instructions and outbound reports files transmitted via the specified address Note Cash instructions and securities instructions must be submitted in separate respective files When this file has been prepared you send it to Clearstream Banking via CreationDirect On receipt the file and individual instructions are validated and a technical validation feedback file containing the results of
15. DEUTSCHE BORSE clearstream croup CreationDirect Data Interchange Specifications ISO SWIFT and XML instruction and report file formats October 2012 Data Interchange Specifications ISO SWIFT and XML instruction and report file formats October 2012 Document number 6161 This document is the property of Clearstream Banking S A Clearstream Banking No part of this manual may be reproduced or transmitted in any form or by any means electronic or mechanical including photocopying and recording for any purpose without the express written consent of Clearstream Banking Information in this document is subject to change without notice and does not represent a commitment on the part of Clearstream Banking or any other entity belonging to Clearstream International S A This document describes the interface used by CreationDirect to communicate with Clearstream Banking using ISO formats It does not constitute a Governing Document as defined in Clearstream Banking s General Terms amp Conditions This manual is only available in electronic format Clearstream Banking allows customers to print the manual locally for their own use Copyright Clearstream International S A 2002 2011 All rights reserved Clearstream and CreationDirect are registered trademarks of Clearstream International S A SWIFT is a registered trademark of the Society for Worldwide Interbank Financial Telecommunication Microsoft and Excel are either regist
16. FE 12345 FIAC SETDET SETR TRAD SETPRTY PSET CEDELULL SETPRTY SETPRTY DEAG CEDE 67890 SETPRTY SETDET GENL SEME GFT CS MT542 NEWM BANKLULLXXXX 4 1 FO01CEDELULOAXXX0000000000 2 1542CEDELULOAXXXN 3 108 BANKLULLXXXX 4 16R 206 23G Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats 169 16R 98A 35B BIRS 16S 16R 236B 97A 168 116R 22F 16R 95P 168 116R 95R 168 21698 GENL TRADDET SETT 20080903 ISIN XS0082720698 0 97 28 TRADDET FIAC SETT FAMT 100000 SAFE 12345 FIAC SETDET SETR TRAD SETPRTY PSET CEDELULL SETPRTY SETPRTY REAG CEDE 67890 SETPRTY SETDET Data Payload Exchange Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats October 2012 1 7 Feedback file Immediately upon receipt of a customer cash or securities instruction Clearstream Banking runs a syntactical validation routine to check for format and completeness Badly formatted or erroneous securities instructions that are identified in the initial validation routine will not be processed further by Clearstream Banking and will be advised to the customer immediately by means of a technical feedback file Note Where an instruction contains more than one error Clearstream Banking cannot guarantee to identify each error
17. L instruction and report file formats 4 9 This page has intentionally been left blank October 2012 Clearstream Banking Luxembourg 4 10 ISO SWIFT and XML instruction and report file formats 5 XML Report Specifications XML report file naming conventions The naming structure for XML report files is as follows ACCOUNT CUSTOMERREPORTNAME REPTYP FREQ MODE ENDPERIOD BDATE GROUPID XML where ACCOUNT Customer account number 5 Digits CUSTOMERREPORTNAME Customer Report Name This is the name that is input by the customer at the report subscription within CreationOnline maximum 60 characters Note CUSTOMERREPORTNAME can contain only characters that are supported by UNIX file names REPTYP Report type This can have the following values CACONF CANOTIF CASHBAL CIRPR INTERIMMONEYSUSP INTRAPOSSTMNT IPAR MKTCLM MIS MONEYSTMNT MONEYSUSP SLBC STMNTOFALLGMNT STMNTOFHOLD STMNTOFPEND STMNTOFREPR STMNTOFTXN TRPCOLGIVSTMNT TRPCOLRECSTMNT USTAXALL USTAXNONUSPERSON USTAXUSPERSON UUNOTIF FREQ Report frequency This can have the following values ALWAYS CONT DAILY INTRADAY MONTHLY QUARTERLY WEEKLY YEARLY MODE Either Complete or Delta ENDPERIOD Business day processing time HHMM This can have the following values 0000 0100 0200 0300 0400 0500 0600 0630 0730 0830 0930 1000 1030 1130 1200 1300 1330 1430 1530 1600 1630 1700 1800 1930 2000 2100 2200 2300 BDATE Business d
18. LLXXX Clearstream Banking 42 Av Kennedy LUX none C0103004 MISMATCH BETWEEN TOTAL TAX AMOUNT HEADER FIELD 3 AND ALL INDIVIDUAL TRANSACTIONS 20121017172108 October 2012 Clearstream Banking Luxembourg 3 2 ISO SWIFT and XML instruction and report file formats 4 Receiving reports CreationDirect customers should contact the Clearstream Banking Connectivity Help Desk concerning their reporting requirements As reports are generated they are packaged as standard output messages within the ISO envelope according to the standard ISO SWIFT messaging guidelines with a header and a trailer record added Clearstream offers the choice of two different formats for the headers and trailers e CreationDirect format available on all CreationDirect channels e Giovannini File Transfer Rulebook format only available on CreationDirect via Internet and CreationDirect via FileAct The choice between the two formats can be specified by the customer during the address setup For CreationDirect via Internet this can be done in CreationOnline via a new flag in the Filestore settings For CreationDirect via FileAct the option is available via the main subscrition form Customers may also request to use the new Giovannini File Transfer header by sending an authenticated MT599 or by contacting the Connectivity Help Desk Once a format is specified on a CreationDirect Address it will apply to all Clearstream inbound instructions and outbound reports
19. ON FREQ Report frequency This can have the following values ALWAYS CONT DAILY INTRADAY MONTHLY QUARTERLY WEEKLY YEARLY MODE Either Complete or Delta ENDPERIOD Business day processing time HHMM This can have the following values 0000 0100 0200 0300 0400 0500 0630 0730 0830 0930 1030 1130 1200 1300 1330 1430 1530 1600 1630 1700 1800 1930 2100 2200 2300 BDATE Business date YYYYMMDD GROUPID A number uniquely identifying the report subscription ISO File extension fixed ISO Note ISO reports with the GFT Rulebook header will have the extension IS0 XML File naming convention for the MT548 Validation Feedback report file The naming structure for the MT548 Validation Feedback report file is as follows ACCOUNT CUSTOMERREPORTNAME REPTYP FREQ MODE ENDPERIOD BDATE ISO where ACCOUNT Customer account number fixed MULTI CUSTOMERREPORTNAME Customer Report Name fixed 548 REPTYP Report type fixed VALFDBCK FREQ Report frequency fixed continuous MODE Either Complete or Delta fixed COMPLETE ENDPERIOD The time it was released from the Creation Platform HHMM BDATE Business date YYYYMMDD ISO File extension fixed ISO Note MT548 validation feedback reports with the GFT Rulebook header will have the extension ISO XML For example MULTI 548 VALFDBCK continuous COMPLETE 1645 20030801 150 Note The MT548 Validation Feedback report cannot be subscri
20. T 240000 97B SAFE ABRD 11215TEST 16S FIAC 16R SETDET 22F SETR TRAD 16R SETPRTY 95P PSET CEDELULL 16S SETPRTY 16R SETPRTY 95R REAG CEDE 12345 16S SETPRTY 16R AM 19A SETT EUR192000 16S AMT 16S SETDET 6 STATUS 004 MESSAGE DOES NOT COMPLY WITH CLEARSTREAM BANKING SWIFT CUSTOMER GUIDE RULES 9017 Only option A of field 97 in sequence C must be used TRAILERCLEARSTREAM BANKING0000000000002 m October 2012 Clearstream Banking Luxembourg 1 10 ISO SWIFT and XML instruction and report file formats Invalid instruction file If the instruction file is found to be invalid the file will contain just one message the status message with the following format Line 1 Status 3 n 100x where 3 n represents the status value and 100x represents the status description Line2 File received at Date Time receipt timestamp provided by CreationDirect Line3 File Name File name Status messages are grouped by account number within the same scheduled report file and possible values are as follows Status value Status description 104 File is not readable for example it does not contain SWIFT messages 105 Expected number of SWIFT messages as indicated on the trailer is different from the actual number of messages found in the file 106 File does not have a correct header 107 File does not have a correct trailer 108 Failed file header validation error FIELD NAME su
21. and report file formats A 1 October 2012 XML Attribute aDayTyp adfltProcFlg adispoFracindTyp adistTyplndCd adivTyplndCd adt adtDt deffctvDt deffSettleDt deligCd dentryDt devntTypCd dexecDt dexmptCdld dexpcSettleDt dexpDt afctMsg afgFlg afilterCd afinInstrQtyCdTyp afinInstrQtyTyp afinRateTyp afltgRateNoteDt afrgnXchgTypCd afrstlsoCurrCd agmtOffset dinputMedia dinsTypCd ainthmntStatus dintermDtCdTyp dintermDtTyp dintermRateTyp dintEvntTypCd dintTyp aiRSIncCdld diRSRecipCdld disinCd disoCurrCd dissDt alcsTxnTyp alenBorrlnd Description Day type Security Movement Default Indicator Fractions Handling Type Intermediary Security Distribution type code Dividend type code End business date Date Effective date Value date Eligible code Entry date Event type code Execution date Exemption code ID total Expected settlement date Expiry date Security Movement Function of message Fungibility flag Filter code Financial instrument quantity type code Financial instrument quantity type CA Detail Financial instrument rate type CA Option Floating Rate Note Reset Date CA Option Foreign exchange type code First currency code CA Detail Exchange rate Offset to GMT Input media Instruction type Interest amount status Termination date Intermediary Security Termination date Intermediary Security Rights rate Internal event type code De
22. ani eea E AE ANE 1 3 Header Contei seeen ee tento spetta cete deserti ate tra roc t OEE fera Never bat 1 3 ISO messddes uisus M ME EINE IE E ae 1 3 Tater TOR OL et sae edet seo UN ERN OENEERE Uc ere ov a E tin rto Edge 1 3 Example of an CreationDirect format instruction file ssssssssssssss 1 4 Giovannini File Transfer Rulebook XML headel cccsccceeceeeceeeceeeeeeeeeeeeeeeeeeeeeesseeeeeeees 1 5 esder Totg oet sd tees ye cscs eee Mad LE ME I E 1 5 Header contentas cocotte due iscer essit cual pbi eM ieee UD ra 1 5 ISOMES SIJE Siea aaaea odisse eia tutes lundrban bu cud ec auhecesensteanderanae ca 1 5 Example of an instruction file with GFT Rulebook headel ccceeecceeeeeeteeeeeeees 1 6 Feedback Pleione DL DULL Meactda 1 8 Correlation of the Feedback file to relevant instruction file sssssssssssssss 1 8 Feedback hile SERM B s iore mitia Ho tteactianc aa naa Dux fe boe te Bote CE 1 8 VENTRI green ELE OLI 1 8 Status miessadb S seo tastes p ru pHSS EE mie ss is RESI NH HERE SIENEE HIERHER EEFE N 1 8 Example of a feedback file for a valid instruction file 1 10 Lavellid lS TRUCE OM EI UG sois ofi past e aces e m ERU M ee dE Ere dei ttn aciei Pao 1 11 Example of a feedback file for an invalid instruction file 1 11 2 Corporate Actions reference data 1 esee esee ee eee nennen enne nnn n nnn 2 1 INOW Soot 25 eei Le Ut LIII DIM 2 1 Malidabiemfiless teat i oA
23. ate YYYYMMDD GROUPID A number uniquely identifying the report subscription XML File extension fixed XML Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 5 1 XML report grouping Customers have the option to group reports for more than one account into a single XML file The option can be activated when scheduling any report in XML format in CreationOnline The structure of the XML remains unchanged except for a new element grouping all different account lt xmlreport RepBundle gt where xmlreport shows the label determining the type of report Example MT950 Cash Balances lt CashBalRepBundle gt lt xml versionz 1 0 encoding IS0 8859 1 lt CashBalRepBundle gt 8 repFreq INTRADAY repMode COMPLETE tmstmp 2009 04 21T13 41 47 gt CustRepOptSubscr tmpild zeroBalInclFlgz N schdId 2341500 antNetBalinciFlg N tmplDetlid 2305501 gt lt RepSubscrNm gt MT950 CB ER25258 GFV RepSubscrNm lt CustRepOptSubscr gt lt Per gt PerStart busEvntz R18 busTime 16 30 00 dt 2009 03 10 gt lt PerEnd busEvnt R19 busTime 17 00 00 dt 2009 03 10 gt lt Per gt lt Acct gt lt AcctNm gt CLEARSTREAM ASLPLUS lt AcctNm gt amp cctId acctOrig CBL gt 12345 lt AcctId gt lt Acct gt lt CashBal section actvFlg N gt CashiInstr isoCurrCd EUR gt Bal IstUpdTmstmp 2009 03 10T17 00 00 stUpdBusDt 2009 03 10
24. bed to as such but is sent automatically to CreationDirect customers whenever instructions are rejected by Clearstream Banking Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 4 3 File naming convention for the MTn95 Validation Feedback report file The naming structure for the MTn95 Validation Feedback report file is as follows ACCOUNT CUSTOMERREPORTNAME REPTYP FREQ MODE ENDPERIOD BDATE ISO where ACCOUNT Customer account number fixed MULTI CUSTOMERREPORTNAME Customer Report Name fixed n95 REPTYP Report type fixed VALFDBCK FREQ Report frequency fixed continuous MODE Either Complete or Delta fixed COMPLETE ENDPERIOD The time it was released from the Creation Platform HHMM BDATE Business date YYYYMMDD ISO File extension fixed ISO Note MTn95 Validation Feedback reports with the GFT Rulebook header will have the extension ISO XML For example MULTI n95 VALFDBCK continuous COMPLETE 180920070516 1S0 Note The MTn95 Validation Feedback report cannot be subscribed to as such but is sent automatically to CreationDirect customers whenever instructions are rejected by Clearstream Banking File naming convention for the CreationDirect Technical Feedback report file The naming structure for the CreationDirect Feedback report file is as follows TASKID DATE TIME CUSTOMERFILENAME ISO TECHFDBCK ISO The naming convention for technical feedback files has be d
25. bit Credit interest IRS Income code ID total IRS Recipient code ID ISIN Currency balance Issue date CA Option LCS transaction type Loan Borrow indicator October 2012 Clearstream Banking Luxembourg SO SWIFT and XML instruction and report file formats XML Attribute alist falnkRefTyp alnkTxnIndTyp dloanTyp alstDlvDt alstUpdBusDt falstUpdDt falstUpdTmstmp faltstDlvDt amatDt ameetPlaceTyp mrktPrclsoCurrCd dmsgStatusCd AamultTaxRateFlg amveTyp anomlsoCurrCd dofferTypIndCd aOnlyTodayVallnsFlg doptFeatTypInd dothPartyTyp apartyCapalndTyp apayAmntTyp apayUntilDt apctPrcTyp apndTradeFlg aProcStatusCdTyp aputDt aqtyTyp drateStatus drateTyp drateTypCd dreasonCd drecDt drecplsoCurrCd aRefDtTyp aregOvridiIndTyp drencblEntStatusIndTyp drepActvFlg drepConsolFlg drepFreq drepMode Description Activity states Linkage reference type Linkage type Loan type Latest delivery date Value date Last movement Last statement Latest delivery date Maturity Date CA Option Meeting place type Denominated currency Message status code Multiple tax rate flag Movement type Nominated currency Offer type indicator code CA Detail For Value Today Optional indicator Other party type Party Capacity Indicator type Total payment amount type Pay Until date Percentage type Cash Movement Indicative Price Pending trade flag Processing status Put
26. ce or rejection of the declaration Clearstream Banking posts the validation as soon as it is received from Euroclear France The customer declaration file must contain an ASCII text file formatted as a CSV with the following structure The filename must be ftt decl CUSTFT DATE TIME csv where CUSTFT is the file name defined by the customer DATE is the date the declaration is submitted YYYYMMDD TIME is the time the declaration is submitted HHMMSS The elements in the file must be separated by a colon Please refer to the French FTT declaration and status description Excel file Example of a declaration ftt decL MYFTT 20121002 164530 csv L D 5493 76 6 20121002 201211 12345 MyFTTO01 CEDELULLXXX Clearstream Banking 42 Av Kennedy LUX NONE Transaction1 S N FR0000120685 20121010 20121013 123 UNT 26468 76 Y 264 69 XPAR Transaction2 R N FR0000130809 20121010 20121013 124 UNT 421778 Y 4217 78 XPAR Transaction3 S N FR0000130810 20121010 20121013 125 UNT 1128 70 Y 11 29 XPAR Transaction4 S N FR0000130810 20121010 20121013 126 FMT 100000 00 Y 1000 XPAR Narrative Transaction4 Transaction5 S N FR0000130809 20121010 20121013 127 UNT 15928 72 N 2 0 XPAR Narrative Transaction5 Transaction6 S N FR0000130812 20121010 20121013 128 UNT 928 73 N 3 0 PLAC Narrative for Transaction6 Customers must upload the declaration file in their Instruction inbox folder of CreationDirect via Internet Once an inp
27. dString OriglMsgAddlInfo OthParty PartyCapalnd PartyCapalndString PayAmnt PayCurr PayDetl PaySplitDetl PayStatus Per PerDtCd PerDtCdEndDtDetl PerDtCdEndTmstmpDetl PerEnd PerEndDt PerEndTmstmp PerStart PerStartDt PerStartDtDtCdDetl PerStartDtEndDtDetl PerStartTmstmp PerStartTmstmpDtCdDetl PerStartTmstmpEndTmstmpDetl PlaceNarr PlaceNm PndBal PrepDt ProcStatusCd ProcStatusCdString Qty Rate RateCurr RateCurrAmnt RateQtyTyp RateStatus Description Narrative Offer type indicator Offer type indicator CA Detail Opening balance Optional Features Optional indicator Original Message Additional information Other Party Party Capacity Indicator Party Capacity Indicator Total payment amount Payment Currency Payment Detail Payment Split Detail Payment status Reporting period Period code CA Detail End Period date detail End Period timestamp detail End of reporting period Period end date CA Detail Period end timestamp CA Detail Start of reporting period Period start date CA Detail Start Period date detail Start End Period date detail Period start timestamp CA Option Start Period Timestamp detail Start Period End Timestamp detail Place of safekeeping narrative Place of safekeeping name Intermediary Security Pending Preparation date Processing Status code Processing status Settled quantity Rate Current rate Rate amount CA Detail Rate Quantity type Rate status CA O
28. date Quantity type Rate status CA Detail Rate type Security Movement Rate type code Security Movement Reason code Record date Exchange rate into Date type CA Option Registration Override Indicator type Renounceable status type Intermediary Security Report activity flag Consolidated reporting flag Reporting frequency Reporting mode Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats A 3 October 2012 XML Attribute arepoTypIndTyp arepTempFlg arepTyp areqSettleDt areqSettleDtCdTyp aRTGSettleOvridindTyp dscdlsoCurrCd aseclInstrTyp asecXferAmntTyp asecXferDirect asecXferTyp asendRef asettlePartyDetlTyp dsettlePartyNarrTyp asettleTxnCondTyp asettleTxnIndTyp asfkpngPlaceTyp dsortDt aStandInsFlg dstatusCd astmntBasisTyp astmntTypTyp astoreTmstmp asubFctMsg asubRepTyp aswiftTxnTypldCd aswiftTyp asystOrigld atakOvrTypIndCd ataxActvTypCd ataxBenfTypCd QtaxRate atmplid atmstmp atradeTxnCondIndTyp atradeTypCd atxnIndTyp avalDt aversNbr dxmlld Accrint Description Repo Indicator type Temporary report Report type Requested settlement date N A RTGS override indicator type Second currency code CA Option Instrument type Security Movement Amount type Direction of transfer Payment type Sender s reference Settlement party type Settlement party narrative type Settlement transaction condition type
29. dut bum a dd etatem de S 2 2 Cyn pU fll esene iotsiies cre testa tin etreiedi ocio Lec IAE tes iu EE LEM enisi ecrate 2 3 3 FrenchFinancial Transaction Tax FTT eeeeeese eese enne nnn 3 1 hp tili cesis a tere cet otra RIM D MU Si ogee ee MIEME eats 3 1 Validation ME cine tistes ters citi a LCD peii ube o M PILAM deo eie Eco aca 3 2 4 Boceiving EPON Gis ca suicskeaei cas aiaek dad ackRad id a Pd Ea dedi Za aa E E dd ad 4 1 Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats iii Available ISO Messages Types tesis ennenen AOE tec c bere S tecti torte tec sede tede eo etg 4 1 Clearing and Settlement FepOPts aso oco nti tet tet Sort ARE PIRE SHEER EI ie AR Cree Ha 4 1 Securities statem eM S 2 3 dienne conte iet aset hunts potet RSNA petes adesdadans ERE 4 2 Cashi statements and Pe pants usce retis etse o REP E nis do Re den Isis 4 2 CUSTODY repor Sencan tua des tetas fotsuiecotiei us Le cPrct eao a a EO 4 2 Triparty Collateral Management PepOFts arii aoi E EO aoaaa aa IURIS 4 2 Miscellaneous reports sssssssssssssss esee eene nennen ennnrn nennen nnne rnnt erre nnne 4 2 ISO report files naming COMVENTIOMN sss epos vo ursa eR Ux aa ARR XU REM DRIN 4 3 File naming convention for the MT548 Validation Feedback report file 4 3 File naming convention for the MTn95 Validation Feedback report file
30. ered trademarks or trademarks of Microsoft Corporation in the United States and or other countries Clearstream International S A is a Deutsche Borse Group company ISO SWIFT and XML instruction and report file formats The guide provides customers of Clearstream Banking with an overview of the record formats required by CreationDirect when sending instructions and receiving reports The purpose of this guide This guide is designed for system developers who have a knowledge of ISO and XML message standards The purpose of the guide is to provide an understanding of the record and file structures required by CreationDirect to e send a file of instructions process the technical feedback file containing the results of the initial validation of the clearing and settlement instructions process a file containing a report This guide applies to all CreationDirect delivery options via Internet via VPN via LiMa and via SWIFTNet How this guide is organised This guide is organised as follows Section 1 Handling ISO instruction files Section 2 Corporate Actions reference data Section 3 Receiving Reports Section 4 XML Report Specifications Related documentation Note Unless otherwise indicated all publications referred to in this guide are available on the Clearstream Banking web site www clearstream com under Publications and Downloads Related CreationDirect documentation Related documentation for Creati
31. ers are protected against misunderstandings or miscommunications Areas subject to telephone line recording include Customer Services the Treasury Dealing Room and back office operations The recorded lines are the subject of an ongoing formal maintenance and quality control programme to ensure their continued effective and appropriate deployment and operation October 2012 Clearstream Banking Luxembourg ii ISO SWIFT and XML instruction and report file formats Contents ISO SWIFT and XML instruction and report file formats eere i Tile purpose OP TANS gulde sott pel aa s pup ieses ase ups ene ioci csuudetu de lets tecti ACE o i OW thiSGQUIGENSORGANISCE x aeargktsotite etse Nerv he dte uin etr oet IRIS oe de Pate etaed i Related doctimielibalol 2 2 5 HIM DO DU M MEI dise ti uds i Field format notation ccccccceeescecesecceeeeeeeceeeceeeeeeeceeeeeeeceeeeeeeceaeeeeeaeeeseeeaeesesecaeeeeeeceeeeeseeeeetees ii Wleresto gebassiSLdliG ens ietetant totateat ertt o Fut iota tubassctetetiototrbui tuti ae aaa ii 1 Handling ISO instruction EGS iiieuseeauuansaas su2nucads tao usas ana nsnada aaa Raan nap Red 1 1 Cashustr etionme VIS MT 1900 2 9055 37 eta itee O E se e 1 1 SeguritesqnsthiucHons Via MITSAX i rectae ieiunia sensitizes isa tet fpei ot etel E 1 2 STRUCTION Tl Structure sanninna e FH Ret Te ELE EE EAE R N A E EEEE 1 3 CreauonbDiect IONA E graean aaaeeeaa aeaaea ies eheu eta 1 3 Header TON MUA cas
32. esigned to help customers to match each instruction with its corresponding technical feedback file The CreationDirect Technical Feedback report does not follow a valid 15015022 format and is therefore nont applicable for the GFT Rulebook header In the above example the original instruction file is TASKID Task ID DATE The date the instruction file was sent to CBL YYYYMMDD TIME The time it was sent to CBL HHMMSS CUSTOMERFILENAME The name of the file when it was sent to CBL ISO z Indicator that this is an ISO file TECHFDBCK The report type ISO File extension fixed ISO October 2012 Clearstream Banking Luxembourg 4 4 ISO SWIFT and XML instruction and report file formats ISO report file structure CreationDirect format The envelope of the report file has the following structure Structure of ISO report file Header One or more ISO messages Trailer for transmission control Note By default reports delivered to customers using CreationDirect via LiMa contain no Header or Trailer Customers using CreationDirect via LiMa must specifically request that their reports should contain Headers and Trailers Header format The header has the format 25 and values as follows 25la HEADERCLEARSTREAM BANKING ISO messages The ISO messages and envelope are formatted according to standard ISO SWIFT messaging guidelines Note Only blocks 1 to 4 are included in messages block 5 is not included
33. ference 4 16R GENL 20C SEME CHECK 53A1 23G NEWM 16S GENL 16R TRADDET 98A SETT 20010508 98A TRAD 20010504 35B ISIN HK0008009653 70E SPRO ab ADDPRTY 168 TRADDET 16R FIAC 36B SETT UNIT 10 97A SAFE 12345 16S FIAC 16R SETDET 22F SETR TRAD 16R SETPRTY 95P PSET HKSCHKH1 168 SETPRTY 16R SETPRTY 95Q DEAG HONGKONG AND SHANGHAI BANKING CORPORATION LTD 16S SETPRTY 16R SETPRTY 95Q SELL BANQUE GENERALE DU LUXEMBOURG 97A SAFE 12345 16S SETPRTY 16S SETDET 1 FO1LBANKLULLXXXX0000000000 2 1543CEDELULLXXXXN 3 108 message user reference 4 16R GENL 20C SEME 2310702 P3 23G NEWM 16S GENL 16R TRADDET 98A SETT 20010508 98A TRAD 20010504 35B ISIN DE0001025708 16S TRADDET 16R FIAC 36B SETT FAMT 240000 97B SAFE ABRD 11215TEST 16S FIAC 16R SETDET 22F SETR TRAD 16R SETPRTY 95P PSET CEDELULL 16S SETPRTY 16R SETPRTY 95R REAG CEDE 12345 16S SETPRTY 16R AMT 19A SETT EUR192000 16S AMT 16S SETDET TRAILERCLEARSTREAM BANKINGO000000000002 October 2012 Clearstream Banking Luxembourg 1 4 ISO SWIFT and XML instruction and report file formats Giovannini File Transfer Rulebook XML header Header format Customers using this format must follow the standard format as defined by SWIFT in the Giovannini File Transfer GFT Rulebook specifications which are a
34. file Customers must schedule the generation of the report in CreationOnline This specifies the delivery channel and the options that will apply to the report The schedule must only be set up once to enable the generation and delivery of reports Customers then upload using CreationDirect via Internet a file containing the list of security codes for which they require Corporate Actions and IPAR Notifications Upon receipt of the list of security codes the report is automatically scheduled and will be produced on a daily basis This step is not required for Triparty Repo Subscriptions If customers want to add or remove securities from the list they must resubmit a complete list of security codes The new list will supersede the old one The customer input file containing the list of securities must be an ASCII text file with the following structure Header first line must be HEADERCLEARSTREAM BANKING There must be one single security code per line either ISIN or Common Code the file may contain a mix of ISIN and Common Codes Format of Common Code must be 12 n i e 12 numbers fixed length with leading zeroes e g 000123456789 Format of ISIN must be 12 cSEC1 e i e 12 characters fixed length determining the ISIN followed by the code word SEC followed by a space e g AB1234567891SEC Trailer last line must be TRAILERCLEARSTREAM BANKING13 n where 13 n equals the total number of ISIN Common codes contained in the fi
35. follows Status value 000 001 002 003 004 005 Status description OK SWIFT MESSAGE TYPE NOT ACCEPTED ACCOUNT NOT AUTHORISED FOR THIS EMITTER MESSAGE NOT 18015022 COMPLIANT MESSAGE DOES NOT COMPLY WITH CLEARSTREAM BANKING SWIFT CUSTOMER GUIDE RULES plus CreationDirect error message see below for details MESSAGE NOT SWIFT COMPLIANT plus Network Validated Rule October 2012 1 8 Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats The specific errors arising from status value 004 are shown in the following table CreationDirect error messages 25 is a mandatory field a 33B is a mandatory field 4 53a is a mandatory field 4 53a is not valid It must be 53a 1 a CEDEL or 53a 1 al cedel 4 56a is a mandatory field 4 57a is a mandatory field 8 Cash instructions must contain header trailer 2 Field 97A in sequence E1 not found File must be ASCII DOS format compliant 8 File must be ASCII DOS or EBCDIC format compliant 4 In field 70E of sequence B code word ADDSETN and ADDSETD cannot be together Invalid Account set up Please contact your local customer services officer and ask for your account to be linked to your CreationDirect address Invalid accrued interest Sequence E3 field 19A Invalid amount Sequence E3 field 19A SETT Invalid code in field 36B of sequence C Code AMOR not allowed Invalid code in field 23B Only CRED value is allowed 8 Invalid combination of
36. ging guidelines Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 1 5 Example of an instruction file with GFT Rulebook header lt xml version 1 0 encoding UTF 8 gt lt Exchange gt lt Header gt lt Sender gt lt Identifier gt BANKLULL lt Identifier gt lt Sender gt lt Receiver gt lt Identifier gt CEDELULL lt Identifier gt lt Receiver gt lt Header gt lt PayloadDescription gt PayloadIdentifier CON003 005 002 CR85 FA 54x with vaild number of Documents iso lt PayloadDetails gt PayloadIdentifier lt CreationDateAndTime gt 01 09 2008 lt CreationDateAndTime gt lt PayloadDetails gt lt PayloadTypeDetails gt lt Type gt 1IS015022 lt Type gt lt PayloadTypeDetails gt lt TechnicalInfo gt lt DocumentDelimiter gt lt DocumentDelimiter gt lt TechnicalInfo gt lt ManifestDetails gt lt NumberOfDocuments gt 2 lt NumberOfDocuments gt ManifestDetails lt PayloadDescription gt lt Payload gt 16S I6R 98A ISIN XS0082720698 35B BIRS 16S 16R 36B 97A 16S 16R 22F 16R 95P 16S 16R 95R 16S 2116S October 2012 1 6 lt Data gt 1 F01CEDELULOAXXX0000000000 2 1540CEDELULOAXXXN 3 108 16R 20C 23G GENL GENL SEME GFT CS MT540 NEWM TRADDET SETT 20080902 0 97 28 TRADDET FIAC SETT FAMT 10000 SA
37. ification MT544 Income Pre Advice Report IPAR MT566 Corporate Action Confirmation MT566 Confirmation of Income Redemptions Proceeds MT568 Corporate Action Narrative Triparty Collateral Management reports MT569 Triparty Collateral and Exposure Statement Miscellaneous reports MT290 Securities Lending and Borrowing Common report MT935 Monthly Interest Scale report USTAX U S Withholding Tax report October 2012 Clearstream Banking Luxembourg 4 2 ISO SWIFT and XML instruction and report file formats ISO report files naming convention The naming structure for ISO report files other than the MT548 Validation Feedback report see overleaf is as follows ACCOUNT CUSTOMERREPORTNAME REPTYP FREQ MODE ENDPERIOD BDATE GROUPID ISO where ACCOUNT Customer account number 5 Digits For MT569 TRPCOLRECSTMNT the customer Cmax short code will be used CUSTOMERREPORTNAME Customer Report Name This is the name that is input by the customer at the report subscription within CreationOnline maximum 60 characters Note CUSTOMERREPORTNAME can contain only characters that are supported by UNIX file names REPTYP Report type This can have the following values CACONF CANOTIF CASHBAL CASHCONF INTERIMMONEYSUSP INTRAPOSADV INTRAPOSSTMNT MIS MONEYSTMNT MONEYSUSP SETTALGMNT SETTCONF SETTSTATUS SLBC STMNTOFALLGMNT STMNTOFHOLD STMNTOFPEND STMNTOFTXN TRPCOLRECSTMNT TRPCOLGIVSTMNT USTAXALL USTAXNONUSPERSON USTAXUSPERS
38. ime aCAAddNarrTyp aCAAmntPrcTyp aCACashMveTyp aCADtCdTyp aCADtTyp aCAEvntIndTyp acalDt aCAMandVoluntIndTyp aCANarrTyp aCAOptCdIndTyp aCAPctPrcTyp aCAPerTyp aCARef aCASecMveTmpTyp aCASecMveTyp acashMveAmntTyp dcashMveDt achgOriglMsgFlg acommissAmntTyp acommonCd dconflnd aconvDt aconvTypIndCd dcorpActEvntIndTyp dcoupDt actryCd dcustdyEvntCd aCustdyEvntTyp dcustdyReasonCd Appendix A Glossary of XML attributes Description Cash account origin Activity code Activity flag Alternative settlement party identifier type Price Intermediary Security Available flag Balance type Start business event of reporting period From business timestamp Narrative type Price type CA Detail Cash movement type Event date code type CA Option Date Security Movement Payment type Call date Mandatory Voluntary type Narrative type CA Option Payment type Price type CA Option Period Security Movement Corporate Action Reference Security movement temporary Security movement type Amount type Aggregate Value date General Information Total commission amount type Common code Security Movement Confirmation Indicator Conversion date Conversion type Corporate action event indicator type Coupon date CA Option Alternative settlement party identifier country CA event code Custody event type CA reason code Clearstream Banking Luxembourg ISO SWIFT and XML instruction
39. ipated Net Booked balance Balance Safekeeping Balance string Quantity Quantity Borrowed Credit Line Corporate Action Additional information Narrative Price CA Option Corporate Action Cash movement Corporate Action Confirmation Corporate Action Confirmation aggregate information Corporate Action Information Corporate Action Message Corporate Action Detail Corporate Action Detail indicator Event date CA Detail Event date code Cash Movement Days number CA Option Corporate Action Date group Days number string CA Detail Corporate Action Event indicator Corporate Action Event Corporate Action Indicator Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats A 5 October 2012 XML Attribute CAMandVoluntlnd CAMandVoluntIndString CANarr CANotfAggrInfo CANotflnfo CANotfMsg CAOpt CAOptCdlInd CAOptCdlIndString CAOptind CAOptNbr CAPctPrc CAPer CAPrcGrp CARateGrp CASecMve CashAcct CashBal section CashBal section Cashlnstr CashMveAmnt CashMveAmntDetl CashMvePndAmnt CashXfer CATmstmp ClassTypCfi CloseAvailBal CloseBal CommissAmnt ConfBal ConvTyplnd ConvTypIndString CorpActEvntlnd CorpActEvntlndString CtryCd CurrintDetl CustdyAddInfo CustdyCd CustdyDetl CustdyEvnt CustdyNarr Description Corporate Action Mandatory Voluntary indicator Mandatory Voluntary Narrative CA Option Corporate Action Notification aggregate information Corporate Action Notifica
40. le with leading zeroes up to the fixed length of 13 numbers In case a security is listed more than once it will only be considered once Example TRAILERCLEARSTREAM BANKING0000000000123 The filename must be card input CUSTREPNAM csv where CUSTREPNAM is the Customer Report Name of the scheduled report in CreationOnline If the filename is not correct the list of instruments cannot be applied to the scheduled report reflected in Financial Instruments File timestamp in CreationOnline and a NoSub validation file is returned in CreationDirect to indicate the failed upload Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 2 1 Example of a file card input MYREPORT csv a HEADERCLEARSTREAM BANKING 000001000101 LU0010001369SEC GB0040133505SEC _ TRAILERCLEARSTREAM BANKINGO000000000003 represents a space Customers must upload the Input file in their Instructions inbox folder of CreationDirect via Internet Once an input file has been sent to Clearstream Banking a copy is stored in the Instructions sent folder for 5 days When a new file with same file name is received and accepted it will overwrite the previous file and update the corresponding report schedule Validation file When submitted the input file is validated by Clearstream Banking and a status file is created and sent to the CreationDirect via Internet Report folder October 2012 2 2
41. length ISIN1 e12 c ISIN followed by one blank XS 9n XS between slashes followed by the followed by the ISIN fixed length Common Code up to 9 digits Where to get assistance For further information or if you have specific questions regarding CreationDirect and or communications with CBL please contact Customer Services Connectivity Support as follows Luxembourg Frankfurt London Tel 352 243 38110 49 0 69 2 11 1 15 90 44 0 20 786 27100 Fax 352 243 638110 49 0 69 2 11 6 1 15 90 44 0 20 786 27254 Email connectlux dclearstream com connectfranfurt clearstream com connectlondon dclearstream com Before contacting CBL please ensure that you have the following information to hand Your organisation name and account number with Clearstream Banking Your telephone number fax number and E mail address Details of the problem please have full details available e f you have received an error message full details of the error with the error message number e If connected via VPN Your CreationDirect address and The CONNECT Direct version number and the operating system where it has been installed e If connected via SWIFTNet FileAct Your organisation s Distinguished Name DN and Ifyou are using FTI any FTI error code received Customers should note that as is normal practice within financial organisations CBL has implemented telephone line recording to ensure that the interests of CBL and of its custom
42. nstruct corrected message cL IR 103 081017 79 REJT 20 XG01 Duplicate instruction is not permitted MREF GFT CDI 103 9X1 TEXT 23B CRED 32A 080901USD270 27 33B USD270 27 50A PARBFRPP 53A CEDEL 12345 BANKLULLXXX 57A CEDELULL 59A 779999 BANKBEBB 71A SHA Data Payload lt Exchange gt October 2012 4 8 Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats Terms and conditions file naming convention Customers can request terms and conditions from the Terms amp Conditions tab of the Financial Instrument Reference Data detailed view screen in CreationOnline The delivery is immediate through CreationDirect via Internet The requested document is sent to a dedicated folder called Terms and Conditions in the CreationDirect FileStore The report has the following naming convention ISIN Doc id Lng User id Ref id Tmstmp Ext where ISIN the securitiy ISIN code max 12 char Doc id the document id as defined in Hyparchive link name max 12 char Lng the language ISO code of the requested document max 3 char User id the CreationOnline user id of the requestor max 35 char Ref id the request reference id max 16 char Tmstmp the file creation timestamp YYYYMMDD HHMMSS Ext File extension DOC JPG PDF TXT TIF etc Clearstream Banking Luxembourg October 2012 ISO SWIFT and XM
43. onDirect includes the following e CreationOnline User Manual e CreationDirect via Internet User Guide e CreationDirect PDF report guide Note For details of scheduling reports online for delivery via CreationDirect please refer to the CreationOnline User Manual 1 Cash and securities instruction files must be in ISO format There is currently no provision for sending custody instruction files via CreationDirect Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats i ISO detailed documentation For detailed information about the ISO record layouts referred to in this guide please refer to the Clearstream Banking Creation via SWIFT User Guide For information about the SWIFT network please refer to the standard set of proprietary documentation provided by SWIFT In particular the FIN Service Description manual contains useful information concerning message structures e CreationDirect via SWIFTNet is based on the SWIFTNet FileAct service For information about this service please refer to the standard set of proprietary documentation provided by S W I F T Field format notation The following is a key to symbols used in the message format tables 6 n 6 numeric characters fixed length 6 50x up to 6 lines of up to 50 characters each lle one blank space lin one numeric character 3 a 3 alpha characters fixed length 15 d 15 numeric characters including decimal separator fixed
44. only Receipt of securities from Clearstream Banking or Euroclear free of payment Receipt of securities from Clearstream Banking or Euroclear free of payment Receipt of securities from outside Clearstream Banking and Euroclear free of payment temporary for matching only Receipt of securities against payment Receipt of securities against payment Receipt of securities from outside Clearstream Banking and Euroclear against payment temporary for matching only Delivery of securities from Clearstream Banking or Euroclear free of payment Transfer of securities between customer accounts free of payment Delivery of securities from Clearstream Banking or Euroclear free of payment Delivery of securities outside Clearstream Banking and Euroclear free of payment Delivery of securities outside Clearstream Banking and Euroclear free of payment temporary for matching only Delivery of securities from Clearstream Banking or Euroclear free of payment Delivery of securities against payment Delivery of securities outside Clearstream Banking and Euroclear against payment Delivery of securities outside Clearstream Banking and Euroclear against payment Modification of a pending settlement instruction October 2012 1 2 Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats Instruction file structure CreationDirect format The envelope of the instruction file has the following structure
45. pplied in the header is incorrect 109 Failed file validaton error Only one Payload must be present in the file 110 Failed file validation error Missing account setup for Giovannini File Transfer request 110 Failed file validation error File must be Giovannini compliant 110 Failed file validation error Block 5 not allowed 110 Failed file validation error Payload not SWIFT compliant 111 File encoding is not UTF 8 Example of a feedback file for an invalid instruction file HEADERCLEARSTREAM BANKING 6 STATUS 104 File is not readable for example it does not contain SWIFT messages FILE RECEIVED AT 2005 04 14 08 45 59 FILE NAME VPN104 001 txt TRAILERCLEARSTREAM BANKINGO000000000001 Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 1 11 This page has intentionally been left blank October 2012 Clearstream Banking Luxembourg 1 12 ISO SWIFT and XML instruction and report file formats 2 Corporate Actions reference data Customers can submit a list of security codes to Clearstream Banking and receive a report with all Corporate Actions Notifications associated with the securities This report will be sent to the CreationDirect FileStore Additionally Triparty Repo customers can receive Corporate Actions Notifications and Income Pre advices for securities blocked in Triparty repo transactions The steps below must be followed in order to receive the report 1 Input
46. ption Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats A 9 October 2012 XML Attribute RateTyp RateTypCurrAmnt Reason RegOvridlnd RegOvridIndString RencblEntStatusInd RencblEntStatusIndString RepoDetl RepoTyplInd RepoTyplndString RepSubscrNm ReqSettleAmnt ReqSettleDt ReqSettleDtCd ReqSettleDtString RegSettleQty RTGSettleOvridInd RTGSettleOvridIndString ScdRateQty SecHold SecHold section SeclncPay Seclnstr SecLendCommiss section SecLendCommissDetl SecNm SecTxn section SecXfer SecXferAmnt SETradeDetl SETradelnd SettleParty SettlePartyDetl SettlePartyNarr SettleTxnCond SettleTxnCondString SettleTxnInd SettleTxnIndString SfkpngAcct SfkpngAcctString SfkpngPlace Description Rate type Rate amount type CA Detail Reason Registration Override Indicator Registration Override Indicator Renounceable Entitlement Status indicator Renounceable status Intermediary Security Repo details Repo Indicator Repo indicator Subscription name Requested settlement amount Expected Settlement Date N A Requested settlement date Requested settlement quantity RTGS override indicator RTGS override indicator Old to new Rate Intermediary Security Fungible securities holding Security Holding section Security income payment Security instrument Security Lending commission section Security Lending commission detail Security name Security transaction section Security tran
47. sfer Security transfer amount SE trade details SE trade indicators Settlement party Settlement party details Settlement party narrative Settlement transaction condition Settlement transaction condition Settlement transaction indicator Settlement transaction indicator Safekeeping account Safekeeping account Safekeeping Place October 2012 Clearstream Banking Luxembourg ISO SWIFT and XML instruction and report file formats XML Attribute SfkpngPlaceString Status StmntBasis StmntBasisString StmntNbr StmntTyp StmntTypString SubscrCashlnstr SubscrEventTyp SubSfkpngSecHold section Swiftld TakOvrTyplnd TakOvrTyplIndString TaxActvTyp TaxBenfOwnNm TaxBenfTyp TaxBenfTypNm TotAvailCollForFin TotBorrVal TotCollPledgVal TotCommissAmnt TotEntAmnt TotHoldVal TotIncPay TotIntAmnt TotIntNetAmnt TotLentVal TotPay TotTaxPayAmnt TradeDetl TradeDt TradeDtString TradeTmstmp TradeTxnCondlnd TradeTxnCondIndString TxnInd TxnIndString UncBal UndrlgSec XchgRate Clearstream Banking Luxembourg Description Place of safekeeping CA Option Status Statement basis Statement basis Statement number Statement type Statement type Subscription Cash instruction Subscription event Security safekeeping section BIC Take over Type indicator Take over type CA Detail Tax Activity Type Beneficial owner name Tax Beneficiary Type Beneficial owner type name Total collateral value Total Borrowed value Total colla
48. tRef IRSIncCd IRSIncCdNm IRSRecipCd IRSRecipNm Lnk LnkRef LnkTxnInd LnkTxnIndString LoanClsgDt LoanOpngDt LoanQty LoanRef MeetPlaceAddr MoneyStmnt section MoneySusp section MonthIntScaleRepAcct section MrktAmntPrc MrktPctPrc MsgCustAct MsgStatus Mve Mve list Description Holding quantity Holding Value Income Payment Income Payment section Indicative Price CA Option Price percentage Cash Movement Instruction details Instruction dates Instruction details Interest amount Interim closing balance Termination date Intermediary Security Termination date Intermediary Security Termination date Intermediary Security Intermediary Rate Intermediary Security Intermediary Security Indicator Interest rate Internal reference IRS Income code IRS Income code name total IRS Recipient code IRS Recipient code name Linkage information Our reference ASFR Link Tax indicator Linkage Loan closing date Loan opening date Loan quantity Loan reference Meeting place Money statement section List of pending movements for a currency Monthly Interest Scale Report section Market Price Intermediary Security Market percentage CA Detail Message status Message Status Movement Pending movement list October 2012 A 8 Clearstream Banking Luxembourg SO SWIFT and XML instruction and report file formats XML Attribute Narr OfferTypInd OfferTypIndString OpenBal OptFeatInd OptFeatIn
49. teral pledged Total commission amount Total entitlement amount Total holding value Total Income payment Total interest amount Total net interest amount Total lent value Total Payment Total tax payment amount Trade details Trade date Trade date Trade timestamp Trade transaction condition Trade transaction condition Transaction indicator Transaction indicator Unconfirmed Fund Underlying security Exchange rate October 2012 ISO SWIFT and XML instruction and report file formats A 11 This page has intentionally been left blank October 2012 Clearstream Banking Luxembourg A 12 ISO SWIFT and XML instruction and report file formats Contact www clearstream com Published by Clearstream Banking Luxembourg Registered address Clearstream Banking SA 42 Avenue JF Kennedy L 1855 Luxembourg Postal address Clearstream Banking L 2967 Luxembourg October 2012 Document number 6161
50. the file and instruction validation is then created Cash instructions via MT1xx 2xx The following table shows the relationship between the ISO MT1xx 2xx messages supported by CreationDirect and Clearstream Banking s cash instructions ISO message Clearstream Banking cash instructions MT103 103 Withdrawal of funds from Clearstream Banking Single Customer Credit Transfer Internal transfer of funds MT202 Withdrawal of funds from Clearstream Banking General Financial Institution Transfer Internal transfer of funds MT203 Withdrawal of funds from Clearstream Banking Multiple General Financial Institution Transfer Internal transfer of funds MT210 Pre advice of entry of funds into Clearstream Banking Notice to Receive 1 Cash and securities instruction files can only be sent in ISO SWIFT format 2 For details of ISO message types please refer to the Clearstream Banking Creation via SWIFT User Guide Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 1 1 Securities instructions via MT54x The following table shows the relationship between the ISO MT5xx messages supported by CreationDirect and Clearstream Banking securities instructions ISO message MT540 Receive free MT541 Receive against payment MT542 Deliver free MT543 Deliver against payment MT530 Transaction Processing Command Clearstream Banking securities instructions temporary for matching
51. tion information Corporate Action Notification message Corporate Action Option Corporate Action Option code indicator Option Corporate Action Option indicator Option number Price Cash Movement Corporate Action Period Corporate Action Price group Corporate Action Rate group Corporate Action Security movement Cash account Cash Balance Cash balance Cash Instrument Amount Cash Movement Amount detail Pending amount Cash transfer Clearstream Banking Deadline CA Option Financial instrument type Anticipated net balance Closing balance Commission amount Confirmed Fund Conversion Type indicator Conversion type string Corporate action event indicator Corporate action event indicator Country code Currency Interest Details Custody Additional information Custody codes Custody details Custody Event Custody narrative October 2012 Clearstream Banking Luxembourg SO SWIFT and XML instruction and report file formats XML Attribute CustdyQty CustdyRef CustdySecInstr CustdyXferAcct CustRef CustRepOptSubscr DealAmntPrc DealPctPrc DenomCurr DenomTotHoldVal DepPlace DepPlacePlaceNm DfltProcFlg DispoFraclnd DispoFracIndString DistTyplnd DistTypIndString DivTyplnd DivTyplndString DtIntDetl EffSettleAmnt EffSettleQty EntQty EvntTyp ExmptCd ExmptCdNm FinDt FinInstrAcctDetl FinInstrCharct FinInstrQty FinInstrGtyCd FinInstrTyp FinRate FrgnXchgCustdyRef FrgnXchgDetl FrgnXchgTyp FrstRateQty
52. tober 2012 Clearstream Banking Luxembourg 4 6 ISO SWIFT and XML instruction and report file formats Giovannini File Transfer Rulebook XML Header Header format Clearstream reports will follow the standard format as definied by SWIFT in the GFT Rulebook specifications which are available on www swift com Header content The following fields are supplied in the transmission Sender will contain CEDELULL Receiver For files sent by CreationDirect via Internet this will contain your CreationDirect via Internet address For files sent by CreationDirect via FileAct this contains the BIC 8 of your institution Payload identifier Contains the file name following Clearstream file naming conventions For compressed files this field will also contain the GZ extension Creation date and time Contains the Creation date and time in the format DD MM YYYY HH MM SS Payload type Contains 1S015022 Number of Documents Contains the exact number of ISO messages present in the payload Document delimiter Contains Y Note e Non ISO messages will not be transmitted with the Giovannini FT Header For non ISO messages the Clearstream CreationDirect formats will continue to apply e GFT compliant files will use UTF 8 encoding ISO messages The ISO messages and envelope are formatted according to standard ISO SWIFT messaging guidelines Note Only blocks 1 to 4 are included in messages block 5 is not included On all business
53. ut file has been sent to Clearstream Banking a copy is stored in the Instructions sent folder for 5 days Clearstream Banking Luxembourg October 2012 ISO SWIFT and XML instruction and report file formats 3 1 Validation file When submitted the input file is validated by Clearstream Banking and a status file is created and sent to the CreationDirect via Internet Report folder 1 If the syntax validation of the declaration is successful and it was subsequently accepted by Euroclear France a status file with the following naming convention is sent ftt decl faccept CUSTFT DATE TIME csv where CUSTFT is the file name defined by the customer DATE is the date the declaration feedback is submitted TIME is the time the declaration feedback is submitted 2 If the syntax validation of the file is unsuccessful and the syntax validation of the file content failed a status file with the following naming convention Is sent ftt decl treject CUSTFT DATE TIME csv 3 If the business content of the file is incorrect a status file with the following naming convention is sent ftt decl freject CUSTFT DATE TIME csv If the file is syntactically correct but contains one or more invalid trasanctions the entire file is rejected and must be resubmitted Please refer to the French FTT declaration and status description Excel file Example of a rejection file 607 D 28653 06 3 20121012 201211 82700 MyFTTDeclaration001 CEDELU
54. vailable on www swift com and must also comply with Clearstream s requirements as listed below Header content The following fields are mandatory fields in the transmission Sender For files sent by CreationDirect via Internet this field must contain your CreationDirect via Internet address For files sent over CreationDirect via FileAct it must contain the BIC 8 of your institution Receiver must contain CEDELULL Payload identifier Must contain the file name For compressed files this field must contain the GZ extension Creation date and time Must contain a valid Creation date and time in the format DD MM YYYY HH MM SS Payload type must contain 1S015022 Number of Documents must contain the exact number of ISO messages present in the payload Document delimiter must contain Y Notes e The payload must contain valid ISO files with blocks 1 to 4 Block 5 is not accepted by Clearstream in a GFT input file Files with multiple payloads are not accepted Only one payload with ISO messages of the same type i e cash or securities type instructions are accepted e Non ISO messages cannot be transmitted with the Giovannini FT Header For non ISO messages the CBL proprietary formats will continue to apply e GFT compliant Files must use UTF 8 encoding Other formats will not be accepted by Clearstream ISO messages The ISO messages and envelope should have the formats as defined by the standard ISO SWIFT messa
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