The NSD Trade Repository. Manual for Completion of <clientdetails>

Transcription

1 Manual fr Cmpletin f <clientdetails> (Infrmatin abut Party clients) in Cntract Frms The NSD Trade Repsitry Manual fr Cmpletin f <clientdetails> (Infrmatin abut Party clients) in Cntract Frms 1

2 In accrdance with Appendix 1 f Bank f Russia Ordinance N U dated 16 August 2016, Table 2 (General infrmatin abut Cntract) the infrmatin abut the clients f the parties shall be prvided t the repsitry. In rder t cmply with the regulatin the XSD-schema f the NSD Trade Repsitry cntains the cmplex element <clientdetails> (Infrmatin abut Party clients). <xsd:element name="clientdetails" type="partyclientdetails" maxoccurs="2"> <xsd:anntatin> <xsd:appinf surce="mre"/> <xsd:dcumentatin surce="nsdr" xml:lang="ru">информация о клиенте стороны <xsd:dcumentatin surce="nsdr" xml:lang="en">infrmatin abut Party clients <xsd:dcumentatin surce="stdc" xml:lang="ru">информация о клиенте стороны <xsd:dcumentatin surce="stdc" xml:lang="en">infrmatin abut Party clients </xsd:anntatin> </xsd:element> It includes the fllwing elements: 1. <servicingparty> (Party, servicing a client) the identifier indicated as Party1 r Party2. It means that the client infrmatin relates t this Party. 2. A chice f the client type has three ptins: Own party trade If <wntrade> (Own party trade) is defined as true, this is a prprietary trade f the Party indicated in <servicingparty>. The value true crrespnds t the value N f the Type f a client defined in Appendix 1 f Bank f Russia Ordinance N U dated 16 August 2016, and means that a cntract is cncluded nt in the client s interest.

3 <nsdext:wntrade>true</nsdext:wntrade> Trade is n behalf f a client This chice means that a cntract is cncluded in the client s interest. In this case infrmatin abut the client must cntain the fllwing: <type> (Client type) shall be defined in accrdance with Appendix 1 f Bank f Russia Ordinance N U dated 16 August 2016: F the client is a prfessinal securities market participant, a credit institutin, an insurance cmpany, a management cmpany, a nn-gvernmental pensin fund r anther rganizatin whse cre activity is the activity fr the prvisin f financial services, as well as the auxiliary activity in the sphere f financial services; L the client is classified as anther type f a legal entity; P the client is an individual. <id> (Identifier) the client cde defined in accrdance with the Reference Guide Fr residents f Russia legal entities: LEI_XXXXXXXXXXXXXXXXXXXX r INN_XXXXXXXXXX. Fr residents f Russia individuals: SNILS_XXX-XXX-XXX XX r PASS_XXXXXXXXXX. Fr freign entities: LEI, SWIFT, Blmberg, Thmsn Reuters r OWN, defined as cde type_cde, fr example LEI_XXXXXXXXXXXXXXXXXXXX. <name> (Name) the shrt name f a client in Russian r English (the full legal name f the entity r the full name f the individual). <cuntry> (Cuntry cde) the cuntry cde crrespnding t the legal address f a client in accrdance with ISO <nsdext:cuntry cuntryscheme=" N infrmatin abut client This chice is allwed in case f unilateral registratin f a message which cntains infrmatin abut the cunterparty specified in <servicingparty>. This cunterparty:

4 - is nt the NSD Trade Repsitry client, r - is the NSD Trade Repsitry client that has prvided the Rejectin t reprt t the Repsitry. In ther case this chice is nt allwed. The field <ninfrmatin> (N infrmatin abut client) shall be defined as true. <nsdext:ninfrmatin>true</nsdext:ninfrmatin> <nsdext:cuntry cuntryscheme=" The cmplex element <clientdetails> (Infrmatin abut Party clients) is repeatable and must be defined fr each party f the cntract (Party 1 and Party 2): In the case f unilateral reprting an xml-message must cntain tw <clientdetails> blcks (the reprting agent must prvide infrmatin abut the clients f bth Parties). <nsdext:wntrade>true</nsdext:wntrade>

5 <nsdext:cuntry cuntryscheme=" In the case f bilateral reprting it is pssible t cmplete <clientdetails> at least fr ne party (Party 1 r Party 2 itself). In this case the infrmatin abut the client f the cunterparty must be prvided in the cunter message r must be added during the cnsecutive cnfirmatin prcess. In the case f cmbined cnfirmatin f reprting frms the party s infrmatin prvided in <clientdetails> is nt available t the cunterparty r its reprting agent. 1 Party 1 message <nsdext:wntrade>true</nsdext:wntrade> Party 2 message <nsdext:cuntry cuntryscheme=" All elements in <clientdetails> (Infrmatin abut Party clients) have special field recnciliatin (sfr). This means that the elements are mandatry t be included int the message in rder t cmplete the registratin prcess. If such elements are different in cunter messages, the registratin will be rejected. If nly ne party includes these elements, their values shall be entered int the registry. 1 After receiving the message with <clientdetails> prvided by the party, the Repsitry deletes this blck in the Request fr apprval (RM005) sent t the cunterparty (its reprting agent). When the Cnfirmatin acknwledgement (CM001) received frm the cunterparty is registered, tw blcks <clientdetails> (fr Party 1 and Party 2) are entered int the final frm in the registry. In the Statement reprt (RM004) and in the interface f the web-client f the NDS Trade Repsitry the infrmatin abut the clients f cunterparties is nt disclsed.