Central Depository Services (India) Limited

Transcription

1 Central Depository Services (India) Limited Convenient Dependable Secure CUNIQUÉ T DEPSITRY PARTICIPANTS CDSL/PS/DP/REPRT/3300 ctober 30, 2012 DISCNTINUATIN F INDIVIDUAL UPLADS AND CRRESPNDING SUCCESS / FAILURE REPRTS DPs are advised to refer to communiqué no. CDSL/PS/DP/REPRT/3266 dated ctober 10, 2012 informing the DPs that individuals uploads and corresponding success / failure reports would be discontinued with effect from November 01, In view of the requests received from DPs to extend deadline for discontinuation of individual uploads and corresponding success / failure reports, it has been decided to extend the deadline to December 31, DPs are advised to note that with effect from January 01, 2013, individual upload formats and corresponding success / failure reports will be discontinued in CDAS as well as Easiest. Various annexures attached with the aforesaid communiqué are again attached herewith for your ready reference. Details of the annexures are given below: Annexure A-provides file naming convention for CDAS & Easiest Annexure-B provides file format for common uploads. Annexure-C provides format of DP6 Success / failure report for common uploads. Annexure-D provides format of DP7 Error report for common uploads. Annexure E- provides list of reports which will be replaced by DP6 & DP7 DPs are advised to take note of the same and incorporate the necessary changes in their back office software. DPs are also advised to inform their Bs and Cs, who are using upload facility through easiest, about discontinuation of individual uploads and corresponding success / failure reports. Queries regarding this communiqué may be addressed to: r. Sandeep Chavan on (022) / r. Laxmikant Joshi on (022) / CDSL Helpdesk on (022) , , , , , , s may be sent to: sandeepc@cdslindia.com, lsjoshi@cdslindia.com, helpdesk@cdslindia.com. sd/- Nayana valekar Sr. Vice President perations CDSL: your depository DPs may their complaints to: helpdesk@cdslindia.com KEYWRD : File Formats Page 1 of 1

2 Annexure A Upload ID 18 File Naming Convention File Name For DP for uploading files through CDAS as well as Easiest <Upload ID><Six Digit DP ID>.<Business Date in DDYYYY format>.<3,4,5 digit running serial number [possible values between 001 to > Sample File Name: File Name For B / C for uploading files through Easiest <Upload ID><16 Digit Demat account number>.<business Date in DDYYYY format>.<3,4,5 digit running serial number [possible values between 001 to Sample File Name: Note The 16 digit demat account number for B will be the B ID and for C it will the Settlement account number such as C principal / pool account number Header Record : andatory / ptional Header record will contain: Description Type Length DP ID Number 6 perator ID Char 6 Total No. of Records Number 6 File Extension Number 3 / 4 / 5 Business Date Date [DDYYYY] 8 Sample Header Record Format for DP : DPAD Sample Header Record Format for B / C: DPAD Note - Since common upload file name can have 3 / 4 / 5 digits of extension, DPs are requested to refer below mentioned table for Sample file names with 3, 4 & 5 digits of extension and its corresponding Header Records. In the illustration it is assumed that all the sample files have one record each for upload. Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 1 of 2

3 Annexure A Sr. No. Sample File Name Sample Header Record DPAD DPAD DPAD Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 2 of 2

4 Common Upload FILE FRAT for DP List of the transactions for which common file format has already been released is as follows: Sr. No. Transaction Type Code Transaction Type Description 1 01 Demat [i.e. Dematerialization] 2 03 Normal Pay-in 3 04 Inter Depository 4 05 ff / n arket 5 07 Pledge 6 07 Un-pledge 7 07 Confiscation 8 07 Auto Un-pledge 9 10 Early Pay-in B Level Freeze B-ISIN Level Freeze Unfreeze Destat [i.e. Destatementization] Remat [i.e. Rematerialization] Restat [i.e. Restatementization] / Redemption Features ultiple Upload Types can be entered in the same file. The fields can be in any order. The first tag should be <Tp> indicating the upload type. Quantity can be aximum 12 digits before decimals and 3 digits after decimals. Decimal Point is required in the file for decimal quantities. Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 1 of 23

5 Common Upload FILE FRAT for DP Quantity field should indicate the exact quantity. For e.g. If Quantity is 100 then it should be written as <Qty>100</Qty>. In case of decimals, the decimal point should also be included. For e.g. If Quantity is then it should be written as <Qty> </Qty>. Format of Date field is DDYYYY. If a field is blank i.e. optional it can be entered as blank as <Ref></Ref> or the tag may not be present. Such a field will be ignored as an empty tag. Upload ID : 18 File Name : <Upload ID><Six Digit DP ID>.<Business Date>.<3, 4, and 5 digit running serial number> Sample File Name: Header Record : andatory [] / ptional [] Header record will contain: Description Type Length DP ID Number 6 perator ID Char 6 Total No. of Records Number 6 File Extension Number 3 / 4 / 5 Business Date Date 8 Sample Record Format: DPAD Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 2 of 23

6 Common Upload FILE FRAT for DP Detail Record : Demat Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 1] <Tp> </Tp> B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 <Qty> </Qty> DRF Number Char 16 <Drf> </Drf> Number of Certificates Number 5 <Pg> </Pg> Dispatch Document ID Char 20 <Dspchid> </Dspchid> Dispatch Name Char 30 <Dspchnm > Dispatch Date Date 8 <Dspchdt> </Dspchnm > </Dspchdt > Lock-in Status Char 1 N Free Y Lock-in <Lcksts> </Lcksts> Lock-in Code Number 2 [andatory, if Lock-in Status = Y ] <Lckcd> </Lckcd> Lock-in Remark Char 50 [andatory, if Lock-in Status = Y ] <Lckrem> </Lckrem> Lock-in Expiry Date Date 8 [andatory, if Lock-in Status = Y ] <Lckexpdt > </Lckexpdt > Sample Record Format: <Tp>1</Tp><Bnfcry> </Bnfcry><ISIN>INF003A01014</ISIN><Qty>100</Qty ><Drf>D-1234</Drf><Pg>2</Pg><Lcksts>N</Lcksts> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 3 of 23

7 Common Upload FILE FRAT for DP Detail Record : Normal Pay-in [i.e. B bligation] Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 3] <Tp> </Tp> Depository ID Number 2 <Dpstry> </Dpstry> CH ID Number 2 <Clr> </Clr> Exchange ID Number 2 <Xchg> </Xchg> Settlement ID Char 13 <Sttlm> </Sttlm> DP ID Number 6 <Ptcpt> </Ptcpt> C ID Char 8 <mb> </mb> B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 <Qty> </Qty> Buy / Sell Flag Char 1 B Buy S Sell <Flg> </Flg> Internal Reference Number Authentication Reference Number [Applicable, if transaction is through Easiest] Char 16 <Ref> </Ref> Number 8 <Arf> </Arf> Sample Record Format: <Tp>3</Tp><Dpstry>1</Dpstry><Clr>10</Clr><Xchg>11</Xchg><Sttlm> </Stt lm><ptcpt>21200</ptcpt><mb>1234</mb><bnfcry> </bnfcry><isin>i NE003A01014</ISIN><Qty>100</Qty><Flg>S</Flg><Ref>REF123</Ref><Arf>345678</Arf> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 4 of 23

8 Common Upload FILE FRAT for DP Detail Record : Inter-Depository Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [value = 4] <Tp> </Tp> Execution Date Date 8 <Dt> </Dt> CDSL B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 <Qty> </Qty> Buy / Sell Flag Char 1 B Buy S Sell <Flg> </Flg> Cash Transfer Char 1 Y Yes X Not Required <Trf> </Trf> NSDL Client ID Char 8 <Clnt> </Clnt> NSDL CBP ID / DPID Char 8 <Brkr> </Brkr> NSDL Settlement ID Char 13 <Sttlm> </Sttlm> Internal Reference Number Char 16 <Ref> </Ref> CDSL Settlement ID Char 13 <CntrSttlm> Authentication Reference Number [Applicable, if transaction is through Easiest] </CntrSttlm > Number 8 <Arf> </Arf> Sample Record Format: <Tp>4</Tp><Dt> </Dt><Bnfcry> </Bnfcry><ISIN>INE003A01014 </ISIN><Qty>1000</Qty><Flg>S</Flg><Trf>X</Trf><Clnt></Clnt><Brkr>IN600523</Brkr><Sttl m> </sttlm><ref>ref123</ref>><arf>345678</arf> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 5 of 23

9 Common Upload FILE FRAT for DP Detail Record : Transaction [ff / n arket] Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 5] <Tp> </Tp> Execution Date Date 8 <Dt> </Dt> B ID Char 16 <Bnfcry> </Bnfcry> Counter B ID Char 16 <CtrPty> </CtrPty> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 <Qty> </Qty> Buy / Sell Flag Char 1 B Buy S Sell <Flg> </Flg> Cash Transfer Char 1 Y Yes X Not Required <Trf> </Trf> Trade Reason Number 1 <Rsn> </Rsn> Internal Reference Number Char 16 <Ref> </Ref> Settlement ID Char 13 <Sttlm> </Sttlm> Counter Settlement ID Char 13 <CntrSttlm> Authentication Reference Number [Applicable, if transaction is through Easiest] </CntrSttlm > Number 8 <Arf> </Arf> Sample Record Format: <Tp>5</Tp><Dt> </Dt><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE003A01014</ISIN><Qty>1000</Qty><Flg>S</Flg><Trf>X</Trf><Rs n>1</rsn><ref>ref123</ref><sttlm> </sttlm><cntrsttlm> < /CntrSttlm>><Arf>345678</Arf> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 6 of 23

10 Common Upload FILE FRAT for DP Detail Record : Pledge Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 7] <Tp> </Tp> Pledge Type Char 1 Pledge Sub Type Char 1 Free / Lock-in Flag Char 1 Lock-in ID Number 16 Pledge Request Form Number Char 16 [Value = P] S Setup A Accept R Reject C Cancel by Pledgor E Reversal by Pledgee odify F Free L Lockin Type is S ] Type is S and Free / Lock-in Flag is L ] [Applicable and andatory if Pledge Sub Type is S ] <Pldgtp> <Subtp> <Lcksts> <Lckid> <Prf> </Pldgtp> </Subtp> </Lcksts> </Lckid> </Prf> Pledgor B ID Char 16 <Bnfcry> </Bnfcry> Pledgee B ID Char 16 <Ctrpty> </Ctrpty> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 Type is S or A or R or C or E ] <Qty> </Qty> Value Number 15,2 Type is S ] <Val> </Val> Pledge Expiry Date Date 8 [DDYY YY] Type is S or ] <Xpry> </Xpry> Pledgee Internal Reference Char 16 Type is A or R (direct transactions)] <Ctrptyref> </Ctrptyref> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 7 of 23

11 Common Upload FILE FRAT for DP Description Type Length Start XL Tag End XL Tag Pledgor Internal Reference Char 16 Type is S (direct transactions)] <Ref> </Ref> Agreement Number Char 20 Type is S or (direct transactions)] <Agrmt> </Agrmt> Remarks Char 100 Type is S or A or R (direct transactions)] <Remk> </Remk> Pledge Sequence Number Number 8 [Will be null for Pledge Type P and Pledge Sub Type S (for newly setup Pledge) else mandatory] <Psn> </Psn> Sample Record Format Pledge Setup <Tp>7</Tp><Pldgtp>P</Pldgtp><Subtp>S</Subtp><Lcksts>L</Lcksts><Lckid> </Lckid><Prf>CDPTEST002</Prf><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE024B01010</ISIN><Qty>10000</Qty><Val>100000</Val> <Xpry> </Xpry><Ref>PLEDGETESTCDP</Ref><Agrmt>CDPTEST001</Agrmt><Re mk>pledgetest2303</remk><psn></psn> Pledge Accept <Tp>7</Tp><Pldgtp>P</Pldgtp><Subtp>A</Subtp>><Psn>608067</Psn><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE024B01010</ISIN><Qty> 10000</Qty><Ctrptyref>CDP TEST</Ctrptyref><Remk>PLEDGE TEST2503</Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 8 of 23

12 Common Upload FILE FRAT for DP Detail Record : Un-pledge Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 7] <Tp> </Tp> Pledge Type Char 1 Pledge Sub Type Char 1 Pledge Sequence Number [Value = U] S Setup A Accept R Reject C Cancel by Pledgor E Reversal by Pledgee (In case of indirect transaction) <Pldgtp> <Subtp> </Pldgtp> </Subtp> Number 8 <Psn> </Psn> Pledgor B ID Char 16 <Bnfcry> </Bnfcry> Pledgee B ID Char 16 <Ctrpty> </Ctrpty> ISIN Char 12 <ISIN> </ISIN> Pledgee Internal Reference Char 16 Type is A or R (direct transactions)] <Ctrptyref> </Ctrptyref> Pledgor Internal Reference Char 16 Part Counter Number 4 Part Quantity Number 16,3 Type is S (direct transactions)] [Applicable if Sub Type is A or R or E or C ]. Type is S or C or A or R or E ] <Ref> <Cntr> <Prtqty> </Ref> </Cntr> </Prtqty> Remarks Char 100 Type is S or A or R (direct transactions)] <Remk> </Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 9 of 23

13 Common Upload FILE FRAT for DP Sample Record Format Un-pledge Setup <Tp>7</Tp><Pldgtp>U</Pldgtp><Subtp>S</Subtp><Psn>608067</Psn>><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE024B01010</ISIN><Prtqt y>1000</prtqty><ref>unpledgetestcdp</ref><remk>reark</remk> Un-pledge Accept <Tp>7</Tp><Pldgtp>U</Pldgtp><Subtp>A</Subtp><Psn>608067</Psn><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE024B01010</ISIN><Ctr ptyref>unpledgeaccept</ctrptyref><cntr>1</cntr><prtqty>1000</prtqty><remk>reark< /Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 10 of 23

14 Common Upload FILE FRAT for DP Detail Record : Confiscation Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 7] <Tp> </Tp> Pledge Type Char 1 Pledge Sub Type Char 1 Pledge Sequence Number [Value = C] S Setup E Reversal by Pledgee (In case of indirect transaction) <Pldgtp> <Subtp> </Pldgtp> </Subtp> Number 8 <Psn> </Psn> Pledgor B ID Char 16 <Bnfcry> </Bnfcry> Pledgee B ID Char 16 <Ctrpty> </Ctrpty> ISIN Char 12 <ISIN> </ISIN> Pledgee Internal Reference Char 16 Type is S (direct transactions)] <Ctrptyref> </Ctrptyref> Part Counter Number 4 [Not applicable in case of direct transaction] <Cntr> </Cntr> Part Quantity Number 16,3 Type is S or E ] <Prtqty> </Prtqty> Remarks Char 100 Type is S (direct transactions)] <Remk> </Remk> Sample Record Format Confiscation Setup <Tp>7</Tp><Pldgtp>C</Pldgtp><Subtp>S</Subtp><Psn>601425</Psn><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE786B01022</ISIN><Ctrpty ref>cnfiscate</ctrptyref><prtqty>10</prtqty><remk>reark</remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 11 of 23

15 Common Upload FILE FRAT for DP Detail Record : Auto Un-pledge Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 7] <Tp> </Tp> Pledge Type Char 1 Pledge Sub Type Char 1 Pledge Sequence Number [Value = A] S Setup E Reversal by Pledgee (for indirect transaction) <Pldgtp> <Subtp> </Pldgtp> </Subtp> Number 8 <Psn> </Psn> Pledgor B ID Char 16 <Bnfcry> </Bnfcry> Pledgee B ID Char 16 <Ctrpty> </Ctrpty> ISIN Char 12 <ISIN> </ISIN> Pledgee Internal Reference Char 16 Type is S (direct transactions)] <Ctrptyref> </Ctrptyref> Part Counter Number 4 [Not applicable in case of direct transaction] <Cntr> </Cntr> Part Quantity Number 16,3 Type is S or E ] <Prtqty> </Prtqty> Remarks Char 100 Type is S (direct transactions)] <Remk> </Remk> Sample Record Format Confiscation Setup <Tp>7</Tp><Pldgtp>A</Pldgtp><Subtp>S</Subtp><Psn>601425</Psn><Bnfcry> </Bnfcry><CtrPty> </CtrPty><ISIN>INE786B01022</ISIN><Ctrpty ref>cnfiscate</ctrptyref><prtqty>10</prtqty><remk>reark</remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 12 of 23

16 Common Upload FILE FRAT for DP Detail Record : Early Pay-in Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 10] <Tp> </Tp> Exchange ID Number 2 <Xchg> </Xchg> CH ID Number 2 <Clr> </Clr> C ID Char 8 <mb> </mb> Settlement ID Char 13 <Sttlm> </Sttlm> From B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Quantity Number 16,3 <Qty> </Qty> Counter B ID Char 16 <CtrPty> </CtrPty> Internal Reference Number Char 16 <Ref> </Ref> Business Date Date 8 <Dt> </Dt> Authentication Reference Number [Applicable, if transaction is through Easiest] Number 8 <Arf> </Arf> Sample Record Format: <Tp>10</Tp><Xchg>11</Xchg><Clr>10</Clr><mb>1234</mb><Sttlm> </ Sttlm><Bnfcry> </Bnfcry><ISIN>INE003A01014</ISIN><Qty>100</Qty><F lg>s</flg><ctrpty> </ctrpty><ref>ref123</ref><dt> </dt>>< Arf>345678</Arf> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 13 of 23

17 Common Upload FILE FRAT for DP Detail Record : B Level Freeze Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 Freeze Type Char 1 Freeze Level Char 1 Freeze Initiated By Number 1 Freeze Sub ption Number 1 [Value = 12] [Value = S] [Value = B] 1 B 2 CDS 3 DP 1 Lien 2 Statutory Bodies [Applicable and andatory if Freeze Initiated By is 3 [i.e. DP] <Tp> <Frztp> <Lvl> <Intby> <Subopt> </Tp> </Frztp> </Lvl> </Intby> </Subopt> Freeze BID Char 16 <Bnfcry> </Bnfcry> B Frozen For Char 1 Freeze Activation Type Freeze Activation Date Number 1 Date 8 1 Debit 2 Credit 3 Both 1 Current 2 Future [Applicable and andatory if Freeze Activation Type is 2 ] <Frozefor> <Actvtp> <Actvdt> </Frozefor> </Actvtp> </Actvdt> Freeze Expiry Date Date 8 <Expdt> </Expdt> Freeze Reason Code Number 2 [Refer Note 1] <Rsn> </Rsn> Freeze Internal Reference Number Char 16 <Ref> </Ref> Freeze Remarks Char 100 <Remk> </Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 14 of 23

18 Common Upload FILE FRAT for DP Note 1 Sr. No. Freeze Reason Code Freeze Reason Code Description Sr. No. Freeze Reason Code Freeze Reason Code Description 1 1 Beneficial wner rder from Special Recovery fficer 2 2 IT Attachment CBI rder 3 3 SEBI Directive FIU-IND Requirement 4 4 Disinvestment & Private Deals In Person Verification Pending 5 5 Court rder Assignment DP Closure 6 6 PAN Verification Pending Restrained PAN 7 7 Sole / First Holder Deceased inor Attained ajority 8 8 Second Holder Deceased PAN Not Recorded 9 9 Third Holder Deceased Sample Record Format Future Dated Freeze <Tp>12</Tp><Frztp>S</Frztp><Lvl>B</Lvl><Intby>1</Intby><Subopt>1</Subopt><Bnfcry> </Bnfcry><Qtytype>P</Qtytype><Qty>100</Qty><Frozfor>1</Frozfor><Actvtp>1< /Actvtp><Actvdt> </Actvdt><Expdt> </Expdt><Rsn>3</Rsn><Ref>ABCD</Ref ><Remk>REARK</Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 15 of 23

19 Common Upload FILE FRAT for DP Detail Record : B-ISIN Level Freeze Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 Freeze Type Char 1 Freeze Level Char 1 Freeze Initiated By Number 1 Freeze Sub ption Number 1 [Value = 12] [Value = S] [Value = I] 1 B 2 CDS 3 DP 1 Lien 2 Statutory Bodies [Applicable and andatory if Freeze Initiated By is 3 [i.e. DP] <Tp> <Frztp> <Lvl> <Intby> <Subopt> </Tp> </Frztp> </Lvl> </Intby> </Subopt> Freeze BID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Freeze Quantity Type Char 1 F Full P Partial <Qtytype> </Qtytype> Freeze Quantity Number 16,3 [Applicable and andatory if Freeze Quantity Type is P ] <Qty> </Qty> B ISIN Frozen For Char 1 1 Debit 2 Credit 3 Both <Frozefor> </Frozefor> Freeze Activation Type Freeze Activation Date Number 1 Date 8 1 Current 2 Future [Applicable and andatory if Freeze Activation Type is 2 ] <Actvtp> <Actvdt> </Actvtp> </Actvdt> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 16 of 23

20 Common Upload FILE FRAT for DP Description Type Length Start XL Tag End XL Tag Freeze Expiry Date Date 8 <Expdt> </Expdt> Freeze Reason Code Number 2 [Refer Note 1] <Rsn> </Rsn> Freeze Internal Reference Number Sr. No. Note 1 Freeze Reason Code Freeze Reason Code Description Sr. No. Freeze Reason Code Freeze Reason Code Description 1 1 Beneficial wner rder from Special Recovery fficer 2 2 IT Attachment CBI rder 3 3 SEBI Directive FIU-IND Requirement 4 4 Disinvestment & Private Deals In Person Verification Pending 5 5 Court rder Assignment DP Closure 6 6 PAN Verification Pending Restrained PAN 7 7 Sole / First Holder Deceased inor Attained ajority 8 8 Second Holder Deceased PAN Not Recorded 9 9 Third Holder Deceased Char 16 <Ref> </Ref> Freeze Remarks Char 100 <Remk> </Remk> Sample Record Format B-ISIN Level Freeze <Tp>12</Tp><Frztp>S</Frztp><Lvl>I</Lvl><Intby>2</Intby><Subopt>1</Subopt><Bnfcry> </Bnfcry><ISIN>IN9003A01014</ISIN><Qtytype>F</Qtytype><Frozfor>1</ Frozfor><Actvtp>1</Actvtp><Expdt> </Expdt><Rsn>3</Rsn><Ref>ABCD</Ref><R emk>reark</remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 17 of 23

21 Common Upload FILE FRAT for DP Detail Record : Unfreeze Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 Freeze Type Char 1 [Value = 12] [Value = U] <Tp> <Frztp> </Tp> </Frztp> Freeze ID Number 8 <Frzid> </Frzid> Freeze Remarks Char 100 <Remk> </Remk> Sample Record Format Unfreeze <Tp>12</Tp><Frztp>U</Frztp><Frzid>12345</Frzid><Remk>REARK</Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 18 of 23

22 Common Upload FILE FRAT for DP Detail Record : Destatementization Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 [Value = 21] <Tp> </Tp> B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> Quantity Flag Char 1 Quantity Number 16,3 A All P Partial [Applicable and andatory if, Quantity Flag is P ] <QtyFlg> <Qty> </QtyFlg> </Qty> DRF Number Char 16 <Drf> </Drf> Folio Number Char 16 <Fol> </Fol> Internal Reference Number Number of Pages of Statement of Account [SA] Char 16 <Ref> </Ref> Number 5 <Pg> </Pg> Dispatch Document ID Char 20 <Dspchid> </Dspchid> Dispatch Name Char 30 <Dspchnm > </Dspchnm > Dispatch Date Date 8 <Dspchdt> </Dspchdt> Lock-in Status Char 1 F Free L Lock-in <Lcksts> </Lcksts> Lock-in Code Number 2 [andatory, if Lock-in Status = L ] <Lckcd> </Lckcd> Lock-in Remark Char 50 [andatory, if Lock-in Status = L ] <Lckrem> </Lckrem> Lock-in Expiry Date Date 8 [andatory, if Lock-in Status = L ] <Lckexpdt > </Lckexpdt > Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 19 of 23

23 Common Upload FILE FRAT for DP Sample Record Format: <Tp>21</Tp><Bnfcry> </Bnfcry><ISIN>INF003A01014</ISIN><QtyFlg>P </QtyFlg><Qty>100</Qty><Drf>D-1234</Drf><Fol>P-1234</Fol><Ref>R-1234</Ref><Pg> 2</Pg> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 20 of 23

24 Common Upload FILE FRAT for DP Detail Record : Remat Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 Remat / Restat Flag Char 1 [Value = 26] [Value = R] <Tp> <Flg> </Tp> </Flg> B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> RRF Number Char 16 <Ref> </Ref> Quantity Number 16,3 <Qty> </Qty> Lot Type Char 1 arket L Jumbo <Lot> </Lot> Lock-in Status Char 1 F Free L Lock-in <Lcksts> </Lcksts> [Applicable and Lock-in ID Char 16 andatory if Lock-in Status is L ] <Lckid> </Lckid> Certificate Denomination Number 11,3 <Cert> </Cert> DP Remark Char 40 <Remk> </Remk> Sample Record Format: <Tp>26</Tp><Flg>R</Flg><Bnfcry> </Bnfcry><ISIN>IN9003A01014</ISI N><Ref>123</Ref><Qty>100</Qty><Lot></Lot><Lcksts>L</Lcksts><Lckid> </Lckid><Cert>123.4</Cert><Remk>12345/67</Remk> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 21 of 23

25 Common Upload FILE FRAT for DP Detail Record : Restatementization / Redemption Upload Description Type Length Start XL Tag End XL Tag Transaction Type Code Number 2 Remat / Restat Flag Char 1 [Value = 28] [Value = S] <Tp> <Flg> </Tp> </Flg> B ID Char 16 <Bnfcry> </Bnfcry> ISIN Char 12 <ISIN> </ISIN> F-RRF Number Char 16 <Ref> </Ref> Quantity Flag Char 1 A All P Partial Amount <QtyFlg> </QtyFlg> Quantity Number 16,3 [Applicable and andatory if Quantity Flag is P ] <Qty> </Qty> Lock-in Status Char 1 F Free L Lock-in <Lcksts> </Lcksts> Lock-in ID Char 16 [Applicable and andatory if Lock-in Status is L ] <Lckid> </Lckid> DP Remark Char 40 <Remk> </Remk> utual Fund Type Char 1 S Restat R Redemption <ftype> </ftype> utual Fund Amount Number 15,2 [Applicable and andatory if Quantity Flag is ] <Amt> </Amt> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 22 of 23

26 Common Upload FILE FRAT for DP Sample Record Format: <Tp>28</Tp><Flg>S</Flg><Bnfcry> </Bnfcry><ISIN>IN9003A01014</ISI N><Ref>123</Ref><QtyFlg>P</QtyFlg><Qty>100</Qty><Lcksts>L</Lcksts><Lckid> </Lckid><Remk>12345/67</Remk><ftype>S</ftype> Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 23 of 23

27 Common Upload Success / Failure Report for DP DP6 Annexure - C Report Documentation odule ID : 44 Report ID : DP6 Report Description : Common Upload Success / Failure Report The fields of each SUCCESSFUL RECRD are displayed as follows; Sr. No Description Fiel d Typ e Fiel d Len gth DE BC IDT TXN PLG UPL CN AUP EP BF BIF UNF DES RE RES / RED 1 Record Number in the File Num ber 6 2 Upload Type Num ber 2 3 Settlement ID Char BID / From BID / Pledgor BID To BID / Pledgee BID Char 16 Char 16 6 ISIN Char 12 7 Quantity Num ber 16,3 Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 1 of 7

28 Common Upload Success / Failure Report for DP DP6 Annexure - C Sr. No Description Internal Reference Number Business Date / ff-arket Transaction Date / Pledge Setup Date / Freeze Activation Date Transaction ID / Sender Transaction Reference Number / DRN / PSN / FRN Buy / Sell Flag / utual Fund Destat Type Settlement Date / Pledge Accept Date / Freeze Expiry Date Fiel d Typ e Fiel d Len gth Char 16 Date [DD YYY Y] Num ber 8 8 Char 1 Date [DD YYY Y] 8 DE BC IDT TXN PLG UPL CN AUP EP BF BIF UNF DES RE RES / RED 13 C ID Char 8 14 Unique Trade ID / Rejection Sequence Number / Unpledge / Confiscate Counter Num ber 6 Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 2 of 7

29 Common Upload Success / Failure Report for DP DP6 Annexure - C Sr. No Description Fiel d Typ e Fiel d Len gth DE BC IDT TXN PLG UPL CN AUP EP BF BIF UNF DES RE RES / RED Settle Status Flag Reason Code for the Trade / Freeze Reason Code NSDL DPID- Client ID / CBPID Counter Settlement ID Demat / Destatementizati on Request Form Number [DRF] Verified Accepted Quantity / utual Fund Amount Verified Rejected Quantity Char 1 Num ber 2 Char 16 Char 13 Char 16 Num ber Num ber 16,3 16, Confirmed Accepted Quantity Confirmed Rejected Quantity Num ber Num ber 16,3 16,3 Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 3 of 7

30 Common Upload Success / Failure Report for DP DP6 Annexure - C Sr. No Description Rejected Quantity / Unpledge / Confiscate Part Quantity Pledge Type / Freeze Transaction Type Code / All / Quantity Flag Pledge Sub Type / Freeze Level [B / B- ISIN] / Lock-in Status Fiel d Typ e Num ber Fiel d Len gth 16,3 Char 1 Char 1 DE BC IDT TXN PLG UPL CN AUP EP BF BIF UNF DES RE RES / RED 27 Pledge Value Num ber 15,2 28 Pledge Expiry Date Date [DD YYY Y] 8 29 Lock-in ID / Folio Number Char Agreement Number Pledgee DP Internal Reference Number Char 20 Char 16 Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 4 of 7

31 Common Upload Success / Failure Report for DP DP6 Annexure - C Sr. No 32 Description Pledge / Freeze / Unfreeze Remarks Fiel d Typ e Fiel d Len gth Char 100 DE BC IDT TXN PLG UPL CN AUP EP BF BIF UNF DES RE RES / RED 33 Freeze Initiated By Num ber 1 34 Freeze Sub ption Num ber 1 35 Freeze Quantity Type / Verify / Confirm Flag Char 1 * 36 B Frozen for Char 1 37 Freeze Activation Type Num ber 1 38 Authentication Reference Number Num ber * Not for B Level Freeze (Sr, No.35) 8 Following line (s) will be included only in the FAILD record (s) Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 5 of 7

32 Common Upload Success / Failure Report for DP DP6 Annexure - C 39 Error Code Char 16 A blank line is printed in between the successful record (s) and the failed record (s) A blank line is printed after the failed record (s) Abbreviations used DE Dematerialization BC Normal Pay-in transaction IDT Inter-depository transaction TXN ff / n arket transaction PLG Pledge UPL Un-pledge CN Confiscation AUP Auto Un-pledge EP Early Pay-in BF B Level Freeze BIF B-ISIN Level Freeze UNF Unfreeze DES Destatementization RE Rematerialization RES/RED Restatementization / Redemption THE SUARY RECRD is printed as follows: Business Date [DD-N-YYYY]~Total Number of Records~Total Number of Successful Records~Total Number of Failed Records Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 6 of 7

33 Common Upload Success / Failure Report for DP DP6 Annexure - C Please Note: In case of DP6 having only successful record(s) [i.e. no failed record (s)] - Two blank lines are printed after the successful record(s) followed by a summary record In case of DP6 having only failed record(s) [i.e. no successful record (s)] - A blank line will be printed before and after the failed record (s) followed by a summary record In case of DP6 having both successful as well as failed record (s) - A blank line will be printed after successful record (s) and failed record (s) followed by a summary record Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 7 of 7

34 Format of DP7 Report Annexure D Report Documentation odule ID : 44 Report ID : DP7 Report Description : Common Upload Syntax Error Report Report Format Description Type Length Line Number Number 8 Error Description Char 240 Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 1 of 1

35 List of Reports which will be replaced by DP6 & DP7 Annexure E SR. N. DULE REPRT N REPRT DESCRIPTIN 1 DEAT DP20 Demat Upload Error Report DP23 Success / Failure Report for Demat 2 FREEZE DPF6 Freeze Failure Report DPH5 Freeze Setup Upload Syntax Validation Report DPH6 Success / Failure Freeze Setup Upload Report 3 SETTLEENT DP95 Error Report for n-arket Upload DP96 DPD6 DPD8 Success / Failure Report for n-arket Upload Success / Failure Report for Early Payin Error Report for Early Payin 4 INTER DEPSITRY DPA4 Error Report for Interdp Upload DPA6 Success / Failure Report for Interdp Transfer DPE5 Syntax Failure Report for Interdp FFARKET DPB1 Success / Failure Report for ff-arket Upload DPA9 Error Report for ff-arket 6 PLEDGE / UNPLEDGE / CNFISCATIN DPB4 Pledge Upload Success / Failure Report DPB5 Error Report for Pledge Upload Communiqué no. CDSL/PS/DP/REPRT/3300 dated ctober 30, 2012 Page 1 of 1