FILE FORMAT FOR INFORMATION TO BE PROVIDED BETWEEN DEPOSITORIES AND RTAS

Transcription

1 Annexure A FILE FORMAT FOR INFORMATION TO BE PROVIDED BETWEEN DEPOSITORIES AND RTAS File naming convention ( It will be a new report for RTA ) All Field s are "# " delimited Continuous "# # " would mean absence of a field File Naming Convention - PROMOTER_TRAN_DTLS_<<RTA_ID><Issuer code>_<<date TIMESTAMP-DDMMYYYYHH24MISS>>.TXT The information will be given on the basis of 1 st holder s PAN. The Report will be given to the RTAs/Issuers at EOD on daily basis. Download File Structure Record Type Record Identifier Header Record 01 Detail Record (Beneficiary Details) 02 Detail Record - Holding details Detail Record Transaction details '03' '04' Header record (01) Details of Promoter / Promoter Group Column Name / Field Description Datatype / File Type Length (maximum Field Size) Identifier / Record CHAR 2 M 01 indicates header record type SHR BP ID/RTA ID Char 8 M File Preparation Date Date 8 M System date DDMMYYYY File Preparation Time Time 6 M System time HH24MISS Total Number of 7 M Detail Records Statement date Date 8 M DDMMYYYY Page 1 of 9

2 Detail Record (02) Details of Promoter / Promoter Group Column Name / Field Desc Datatype / Field Type Length / Maximum field Size Record Type CHAR 2 M 02 indicates Details of Promoter / Promoter Group Line Number 7 M Start with 1 Issuer code Char 4 M 4 th to 7 th character of an ISIN DP ID Char 8 M Beneficiary Owner 8 M DP ID is separately covered A/c No. First Holder s Name CHAR 250 M Second Holder s CHAR 150 O Name Third Holder s Name CHAR 150 O Beneficiary Owner NUMBER 2 M Account Category Beneficiary Customer NUMBER 2 M Type Beneficiary Sub-type Number 4 O Beneficiary Product Number Number 2 O This field is applicable only for CDSL. For NSDL, value will always be 0 (zero). PAN of Sole/First holder CHAR 10 O PAN of second holder CHAR 10 O PAN of third holder CHAR 10 O Beneficiary Account Number 2 M For NSDL 10 - Active 11 Suspended for Debit 13 Suspended Debit & Credit 30 Closed For CDSL 10 Active not frozen 11-Active frozen for debit 12- Active frozen for credit 13-Active frozen for debit and credit 20-To be closed not frozen 21-To be closed frozen for debit 22-To be closed frozen for credit 23-To be closed frozen for both debit and credit 30- closed Page 2 of 9

3 Detail Record (03) Details of Holdings Field Desc Field Type Maximum field Size Record Type Char 2 M 03 indicates Details SOH of Promoter/Promoter Group Line Number 7 M Running Serial Number DP ID Char 8 M Beneficiary Account Number 8 M ISIN Character 12 M ISIN (SEC) TYPE 2 M Issuer code Char 4 M 4 th to 7 th character of an ISIN Total Holding Positions current balance Beneficiary Free Positionsfree balance Beneficiary Lock-in Positions- Lockin balance Beneficiary Block Positionssafekeep balance ISIN level Freeze flag BO ISIN freeze flag Beneficiary Pledged Positions- Pledge balance Beneficiary Pledged with Lock-in Positions NA for CDSL Beneficiary Pledged Unconfirmed Positions- Pledge setup balance (AVL ) Decimal 19 M default 0 Sum of Positions (Free + Lock-in + Block+ Pledged+ Pledged with Lock-in+ Pledged Unconfirmed+ Un confirmed Pledged with Lock-in+ Remat +Remat Lock-in + Earmark Balance) Decimal 19 M default 0 Decimal 19 M Positions in Quantity level freeze +ISIN level freeze quantity default 0 Values: 0- Not Frozen 1 M 1- Frozen for Debit 2- Frozen for Credit 3- Frozen for Both Decimal 19 M default 0 For CDSL, value will always be 0 (zero) Page 3 of 9

4 Beneficiary Un confirmed Pledged with Lock-in Positions NA for CDSL Beneficiary Remat Positions- Remat pending confirmation Beneficiary Remat Lock-in Positions_ Remat against lockin Pending Demat verification- DPV Pending Demat confirmation- DPC For CDSL, value will always be 0 (zero) Earmark Balance- earmark Decimal 19 M This field is applicable only for CDSL. For NSDL, value will always be 0 (zero). Detail Record (04) Details of Transaction Field Desc Field Type Maximum field Size Record Type Line Number Char 2 M 7 M 04 indicates Details SOT of Promoter / Promoter Group Running Serial Number DP ID Char 8 M Beneficiary Account Number ISIN Character 8 M 12 M This Field would contain client ID of CC s own CM if Account Category is 04 Credit /Debit in demat account Date of credit/debit of shares in depository account Quantity Transaction type/ Booking Type Booking Narration Character Date Decimal Char 1 M 8 M 18 M 5 M 100 M C- Credit D- Debit (DATE FORMAT ::=DDMMYYYY 15+3 format without decimal Page 4 of 9

5 Note : 1. The holding and transaction details of Promoters / persons in Promoter Group in a particular ISIN will be shared with the RTA/Issuer at the EOD of Business day. 2. The promoter/promoter group accounts will be identified on the basis of PAN of first holder. 3. All Quantity fields will be with 3 decimal places. Values appearing in the download file will not contain decimal. Eg. Qty will appear as ******* Page 5 of 9

6 Files to be received from RTA To Depositories as regards promoters details File Naming Convention - PROMOTER_ACCT_DTLS_<<RTA_ID>>_<<DATE TIMESTAMP- DDMMYYYYHH24MISS>>.TXT All Field s are "# " delimited Continuous "# # " would mean no value for a field Upload File Structure Record Type Record Identifier Header Record 01 Detail Record 02 Description Data Type Size Record Type 2 M 01 Header Batch Number 7 M SHR BP Character 8 M ID/RTA ID BP Role 2 M 04 always Total No of 7 M Detail Records File Date Date 8 O DDMMYYYY File Format for Detailed Record Column Name Datatype Length (Size) (Description) Record Type 2 M 02 Detail Record Line Number 7 M Issuer Code Character 4 M 4 th to 7 th character of an ISIN Stock Exchange Character 15 M Stock Exchange Code where shares are listed (It will be "," delimited) Code:- 1 NSE 2 BSE 3 Metropolitan Stock Exchange Name of the Character 250 M Ex :- 1,2,3.. and so on Page 6 of 9

7 promoter / Persons in Promoter Group Promoter Group/ Promoter Character 1 M Promoter Group G or Promoter - P PAN of promoter Character 10 M/O PAN of Promoter Optional in case of PAN exempt cases. BO ID (DPID + Client ID) ADD / Delete / Modify Flag (refer comments below) ADD / Delete / Modify Effective Date Character 16 O/M BO ID (DPID + Client ID) Mandatory if PAN is not available Character 1 M S- Setup A- ADD Record D- Delete Record M- Modification Record Date 8 M DDMMYYYY File Naming Convention - PROMOTER_ACCT_DTLS_<<RTA_ID>>_<<DATE TIMESTAMP- DDMMYYYYHH24MISS>>_RES.TXT File Format for Response File of Promoters details Out / VR out Response File Structure Record Type Record Identifier Header 01 One (First) record per file Detail 02 Second record onwards, multiple per file. File Format for Header Record Header Record Description Data Type Size Record Type 2 M 01 Header Batch Number 7 M SHR BP Character 8 M ID/RTA_ID BP Role 2 M 04 always Request Date Date 8 M DDMMYYYY Page 7 of 9

8 Total number of Detail Records 7 M Batch Acceptance Response File Generation Date Character 1 M A - Accepted R- Rejected P Partially Accepted E- EOD Report Character 8 M DDMMYYYY File Format for Detail Record Detail Record Description Data Type Size Stat us Record Type 2 M Detail Record (02) Line Number 7 M Record Character 1 M A-Accepted R-Rejected Rejection Reason code Promoter Group/ Promoter N-New Demat Account Opened (Applicable in case Batch Acceptance = E ) C- Existing Demat Account Closed (Applicable in case Batch Acceptance = E ) Character 9 O Refer the RTA Static code data document Character 1 M Issuer Code Character 4 M Stock Exchange code PAN of promoter/promot er Group BO ID (DPID + Client ID) ADD / Delete Flag Character 15 M Code:- 1 NSE 2 BSE 3 Metropolitan Stock Exchange (It will be "," delimited) Character 10 M/O PAN of Promoter/Promoter Group Optional in case of PAN exempt cases. Character 16 M BO ID (DPID + Client ID) Character 1 M S- Set Up A- ADD Record D- Delete Record M-Modification Record In EOD Report, Add/Delete Flag will be sent as Page 8 of 9

9 S (Setup) ADD / Delete / Modify Effective Date Date 8 M DDMMYYYY Note: 1. The RTA/Issuer will upload/provide a common file with Promoter/Promoter group details on both the depositories. 2. Only Equity Type of ISINs will be considered during processing of Promoter Details File received from RTA. 3. If ISIN or Account with Promoter/Promoter group PAN is not present in the records of the Depository, the same will stored in the respective Depository records. 4. In the EOD Report sent to RTAs, any new demat account getting opened or an existing demat account getting closed during the day will be sent with Record as N and C respectively along with Add/Delete Flag as S. 5. In the EOD Report sent to RTAs, where Batch acceptance status is E Add delete flag will be S i) Any new demat account opened for a given PAN record status N ii) Any demat account closed for a given PAN record status C 6. Please find the matrix below where Batch acceptance status is E SR No Batch status ADD / Delete Flag Record 1 E (EOD Report) S (Set Up) N (New Demat Account Opened) 2 E (EOD Report) S (Set Up) C (Existing Demat Account Closed) ******* Page 9 of 9