Securities and related financial instruments—International securities identification numbering system
Some standard content:
ICS03.060
National Standard of the People's Republic of China
GB/T21076—2007
Securities and related financial instruments
International securities identification numbering system
Securities and related financial instruments-International securities identification numbering system(ISO6166.2001.MOD)
Issued on September 5, 2007
General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China Administration of Standardization of the People's Republic of China
Implementation on December 1, 2007
GB/T21076-2007
This standard modifies and adopts ISO6166:2001 "International securities identification numbering system for securities and related financial instruments". The main differences between this standard and ISO6166:2001 are as follows: 1. The scope of application of the standard in China has been increased: 2. The referenced document IS010962 Classification of Financial Instruments has been added: 3. Some terms have been supplemented!
1. The rules of the basic coding part are supplemented: 1. The abbreviation agency of China is supplemented, and the existing ISIN coding content is modified, except for countries without coding agencies: 1. The registration agency of China is supplemented:
Added Appendix A "Coding method of product categories", added Appendix B\Coding method of "sequential code" ISO6166:2001 Chapter 7 "Information and Query" is adjusted to Appendix F of this standard, and the information of the registration agency of this standard in China is supplemented.
Appendix A, Appendix B, Appendix C and Appendix D of this standard are normative appendices, and Appendix E and Appendix F are informative appendices. This standard is proposed by the China Securities Regulatory Commission.
This standard is under the jurisdiction of the National Financial Standardization Technical Committee. Drafting units of this standard: Information Center of China Securities Regulatory Commission, Shenzhen Stock Exchange, Shanghai Stock Exchange, Futures Exchange, China Securities Depository and Clearing Corporation, China Central Depository and Clearing Corporation. The main drafters of this standard: Yang Jiqin, Bai Shuo, Li Dapeng, Gao Bin, Song Qizhang, Zou Sheng, Wang Maolu, Zeng Haiquan, He Xiaolei. This standard is released for the first time.
GB/T21076—2007
With the rapid development of international securities business, the market needs an international securities identification code that can be widely used around the world. The implementation of ISIN coding will help unify the existing securities codes of various countries, support the identification of international securities and the exchange of securities information, and support various international securities businesses for cross-border transactions and settlements. 1 Scope
Securities and related financial instruments
International Securities Identification Coding System
GB/T21076—2007
The content of this standard provides an international securities identification code system. Unified structure, which is applied to the trading and management of all securities and related financial instruments.
This standard specifies the International Securities Identification Number (ISIN) for securities and related financial instruments registered and issued in China, and specifies the coding rules, coding allocation, coding registration agency, information and query of China's ISIN code. This standard applies to securities and related financial instruments whose issuers are registered in China and are listed and traded in China's securities market, futures market, inter-bank market, over-the-counter market and overseas capital markets: it applies to securities and related financial instruments whose issuers are registered in China and have been assigned ISIN identification codes before the implementation of this standard. This standard does not apply to securities and related financial instruments whose issuers are registered outside China and are listed and traded in the securities market, futures market, inter-bank market and over-the-counter market in China. 2 Normative references Applicable documents
The clauses in the following documents become the clauses of this standard through reference in this standard. For any dated referenced document, all subsequent amendments (excluding errata) or revisions are not applicable to this standard. However, parties reaching an agreement based on this standard are encouraged to study whether the latest versions of these documents can be used. For any undated referenced document, the latest version shall apply to this standard. GB/T2659 Codes for names of countries and regions in the world (GB/T2659-2000, eqvISO3166-1:1997) GB/T12406 Codes for currencies and funds (GB/T12406-1996, idtISO4217:1990) 1SO10962 Classification of financial instruments
3 Terms and definitions
This standard adopts the following terms and definitions.
International Securities Identification Number: ISIN is a code that uniquely identifies a given security or other financial instrument. 3.2
Trading Business Process: Market operations for securities trading using trading quotation facilities, such as buying, selling, modifying and revoking. 3.3
Non-Trading Business Process: Market operations for non-securities trading using trading quotation facilities, such as online voting, new stock subscription, rights issue subscription, convertible bond conversion, etc.
Product Codes for Non-Traded Business The ISIN code assigned to securities and related financial instruments in a certain non-traded business is different from the ISIN code assigned to the instrument in the trading business.
GB/T21076—2007
National Numbering Agency National Numbering Agency NNA represents a country and joins the Association of National Numbering Agencies (ANNA) organization, which is responsible for managing the ISIN code assigned to the country. In China, the national numbering agency refers to the securities industry standardization agency authorized by the State Council Securities Regulatory Commission.
ISIN number applicant is the issuer of financial instruments who applies to the national abbreviation agency for the allocation of ISIN codes. 4 Coding rules
ISIN code should consist of the following parts
a) Prefix code: the two-letter national code specified in GB/T2659. b) Basic abbreviation: composed of product category code and sequence code. The product category code indicates the type code of securities and related financial instruments, which consists of a single letter. The product category code is encoded according to the instructions in Appendix A: The sequence code is automatically generated according to the application order of the securities and related financial instruments, and it consists of an 8-digit combination of alphanumeric characters. The sequence code is sorted and calculated according to the instructions in Appendix B.
e) Check code: It consists of a digit and is calculated according to the modulo 10\multiply by 2 every other digit* algorithm provided in Appendix C. 5 Code allocation
5.1 Countries with coding agencies
For countries with abbreviation agencies, the national coding agency shall allocate ISIN codes in accordance with relevant coding rules. In China, the national coding agency is a securities industry standardization agency authorized by the State Council Securities Regulatory Commission. It is responsible for allocating ISIN codes for securities and related financial instruments according to the coding rules in Chapter 4. 5.2 For existing ISIN codes
All already allocated ISIN codes should remain unchanged, while for existing securities without ISIN codes, ISIN codes shall be allocated according to this standard. For securities and related financial instruments in China, they shall be allocated according to this standard. 5.3 Application for ISIN
If you want to apply for the allocation of ISIN abbreviations for securities and related financial instruments, you need to submit application information to the national abbreviation agency (as shown in Appendix D).
Before the issuance of new financial instruments, the relevant main managers or issuers should apply for the allocation of ISIN codes. In order to meet market needs, the national coding agency will allocate ISIN codes in a timely manner. According to 5.1, if the ISIN code cannot be obtained, it should be resolved in accordance with the regulations of the ISIN registration agency. 5.4 Information Exchange
In order to ensure that information on securities and related financial instruments can be easily obtained worldwide, China's national numbering agency will exchange information on ISIN codes with national numbering agencies of other countries. 6 Registration Agency
According to the provisions given in Annex N of Part 1 of the ISO/IEC Guide, the ISO Council has designated the Association of National Numbering Agencies (ANNA) as the international registration agency for this standard. In China, the registration agency for this standard is a technical organization approved by the State Administration of Standardization to engage in national standardization work in the securities and futures fields.
Appendix A
(Normative Appendix)
Product Category Coding Method
GB/T21076-2007
For securities and related financial instruments in the trading business category, the financial instrument classification basis and classification code specified in ISO10962 are used for product category coding. For stock-related financial instruments, the letter "E" is used to encode them; for bond-related financial instruments, the letter "D" is used to encode them; for equity-related financial instruments, the letter "R" is used to encode them; for option-related financial instruments, the letter "O" is used to encode them; for futures-related financial instruments, the letter "F" is used to encode them; for comprehensive financial instruments, the letter "M" is used to encode them. Securities and related financial instruments in the counterparty non-trading business category are coded with the letter "Z" for product category. Table A1 gives the specific product categories of the above product category codes. Table A.1 Product category code and specific products covered Product category
Trading business category
Comprehensive category
Non-trading business category
Product category code
Specific product types
Ordinary stocks, preferred stocks, convertible stocks, preferred convertible stocks, mutual funds, etc., convertible securities, etc., securities with warrants, medium-term notes, currency market instruments, etc.
Allocation rights, subscription rights, purchase rights, warrants, etc. Buy options, sell options, etc.
Commodity futures, financial futures, etc.
Reference financial instruments (such as currency, commodities, interest rates, etc.), other asset products (such as real estate contracts, insurance plans, etc.)
Transfer arms, market prudent placements, network Voting, new share subscription, rights issue subscription, conversion of re-convertible bonds, resale of convertible bonds, etc.
GB/T21076--2007
Appendix B
(Normative Appendix)
Coding method of sequence code
The sequence code of securities and related financial instruments shall follow the following coding rules:) The sequence code is an 8-bit code. Each character consists of numbers (0-9) and letters (CA-Z) arranged in sequence. Therefore, the sequence code can be regarded as a hexadecimal code. b)
code, suppose 1 is an 8-bit hexadecimal code. 2 is the code that follows it, then there is a 1 plus 1: For the existing securities and related financial instruments before the implementation of this standard, the starting value of the sequence code is f. =00000000. For securities and related financial instruments after the implementation of this standard, the starting value of the sequence code is point = 10000000: The subsequent sequence code can be automatically generated by the following recursive formula (taking f. = 00000000 as an example); (f = 00000000
f = fo+1 = 00000001
fu-f.+1 = 0000000A
fa = fa,+1 = 0000000z
fs = /s+1 = 00000010
In order to further describe the encoding principle of the above sequence code Then, Figure B below gives a partial coding example of the product sequence code after the implementation of this standard.
10000000
10000001
1000009
10000D0A
100000z
10000010
10000011
1000019
1000001A
10000012
10002Y26
10002Y21
19002Y29bzxZ.net
10002YZA
10002Y22
10002320
10002321
10002229
10002ZZA
1000277
Example of sequential encoding
10010000
10010001
1001009
1001000A
10010002
22272220
2222221
2222 2229
ZZZ2ZZZA
2222732
Appendix C
(Normative Appendix)
Method for calculating the check code using the modulo 10\multiply by 2 every other digit\sum algorithm. The specific calculation method is as follows:
a) Step 1
The specific value of each English letter is shown in Table C.1. Table C.1
b2 Step 2:
GB/T21076—2007
Start with the first digit on the right including zero (in order from low to high), and alternately increase the corresponding digit by 2 every other digit. e) Step 3:
Add the number obtained in step 2 to the original digits in other unaffected digits. d) Step 4:
Subtract the sum of the numbers obtained in step 3 from the nearest light large number with the last digit being 0 [equivalent to calculating the remainder 1 of the difference between the lower digit (units) of the sum of the numbers obtained in step 3 and 10. If the sum of the numbers obtained in step 2 is a number with the unit digit being 0 (3040, etc.), the check digit is 0
Example C.1
WRGrace and Co,shares
US383883105
302838388 3105
21 21212121212
604868681632010
6+0+4+8+6+8+6+8+1+6+3+2+0+1+0=59Check digit
Hitachi Ltd,shares
JP378860000
1925378860000
2121212121212
29 45 6 7 16 8 12 0 000
2+9+4+5+6+7+1+6+8+1+2+0+0+0+0=51Check digit 60
International Bank for Reconstruction and Development (Worldbank) 15 1/8 6 due 15December 1991
US459056DG9
GB/T21076—2007
302845905613169
21212121212121212
604885180106232618
6+0+4+8+8+5+1+8+0+1+0+6+2+3+2+6+1+8=69Check code
Attached scene D
(Normative appendix)
Minimum information requirements
GB/T21076-2007
General situation: When applying for the allocation of ISIN code, apply for Applicants should provide the following information to the national coding agency or agency: Issue name and description (including category or type): Issuer name and place of registration:
Name and place of registration of the main manager or management group (for bond-type instruments): Name and country of location of the CSD/ICSD corresponding to the international bond-type products: Name and country of location of a product and commodity exchange; Interest rate term, interest payment target:
- Market:
Other information required by the securities industry standardization agency authorized by the securities regulatory authority of the State Council Applicants who submit applications to the national coding agency should comply with the business rules specified by the coding agency, that is, the coding agency may also require the applicant to provide additional information.
GB/T21076—2007
E1 Coding Examples for New Products after the Coding System is Launched Appendix E
(Informative Appendix)
Example 1: After the coding system is launched, the Shenzhen Stock Exchange needs to issue a new stock A. The process of ISIN coding for stock A is as follows: First, since stock A belongs to the stock category in terms of product category, its product category code is E. Then, the ISIN code assigned by the coding system to the stock product most recently is consulted, which is assumed to be CNE1ABCEDFGO (where 1ABCEDFG is the sequence code of the ISIN and 0 is its digital check code). According to the above-given sequence coding method, the next sequence code of 1ABCEDFG is 1ABCEDFH. Therefore, the sequence code corresponding to stock A is 1ABCEDFH. Combined with the product category code E determined previously, the ISIN code of stock A is CNEIABCEDFH8.
Example 2: Coding system After the system is launched, the Shanghai Futures Exchange needs to issue a new futures contract cu0712 and needs to ISIN-code the product. The process is as follows: First, cu0712 belongs to the futures category in terms of product category, so its product category code is F: Then check the ISIN code assigned by the terminal code system to the futures loan product in the most recent time, assuming it is CNF1A1345FG1 (where 1A1345FG is the sequence code of the ISIN, and 1 is its digital check code). According to the above-given sequence coding method: the next sequence code of 1A1345FG is 1A1345FH, so the sequence code corresponding to cu0712 is 1A1345FH. Combined with the product category code F determined earlier, the ISIN code of the futures contract Cu0712 is CNFIA1345FH9. For example, there are two product applications submitted by the Shanghai Futures Exchange at the same time, namely cu0712 (copper December 2007 contract) and al0712 (aluminum December 2007 contract). Then, sort the products in order of the pinyin of the region to which they belong, the stock code of the listing place and the pinyin of the product name. Since the pinyin of the product abbreviation "aluminum" is before "copper", the sequence code of al0712 is 1A1345FH, and the pinyin of Cu0712 is 1A1345FI. Their corresponding ISIN codes are: CNF1A1345FH9 and CNF1A1345FI7. If the products submitted by Shanghai Futures Exchange and Dalian Commodity Exchange, such as cu0712 (copper December 2007 contract) and m0712 (soybean auction December 2007 contract), arrive at the coding agency at the same time, then according to the pinyin of the region to which the products belong, the listing place The stock codes and product names are sorted in alphabetical order. Since the phonetic symbol of the product location of m0712, Dalian, is before the phonetic symbol of the location of cu0712, Shanghai, m0712 is ranked before cu0712. The sequence code of m0712 is 1A1345FH, and the sequence code of cu0712 is 1A1345FI. Their corresponding ISIN codes are CNF1A1345FH9 and CNF1A1345FI7E, respectively. 2 Encoding examples of products listed before the coding system goes online Example 3: ISIN coding of Chendian International (600969), a stock that was listed on the Shanghai Stock Exchange before the system went online. Since Bangdian International's stock was listed and traded before the coding system was launched, it is a historical problem and will be handled according to the principle of new and old period separation. The process is as follows: Since Chendian International is a stock product, its product category code is E. In addition, before the system is launched, for all the stock products listed on my country's securities market, the coding agency will re-sort them in order according to the product listing time, the pinyin of the region to which the product belongs, and the securities code of the listing place. Assume that the sorting number of Chendian International in this sorting process is 002345AZ, which is the sequence code of Bangdian International. Combined with the product category code E determined earlier, the ISIN code of Bangdian International is CNE002345AZO (O is its digital check code)
If Bangdian International needs to transfer from the Shanghai Stock Exchange to the Shenzhen Third Board Market for trading for some reason, then its existing 6-digit local market code (600969) needs to be changed, but its ISIN code remains unchanged and is still CNE002345AZ0. 8
Appendix F
(Informative Appendix)
Information and Inquiry
GB/T21076—2007
For information and inquiries on the implementation of this standard and ISIN allocation, as well as the list of national coding agencies and designated agents, please contact the registration agency secretariat.
TSO6166 registration machine's daily work address is: Association of National Numbering AgenciesscrlMr, Alain Duhamel, Executive Secretaryc/o Euroclear France
115, rue Resumur
FR-T5081ParisCedex02
France
In China, the regular work address of this standard registration agency is! Certificate and Standard Registration Office
China Securities Regulatory Commission Information Center Building A, Fukai Building, No. 19 Financial Street, Xicheng District, Beijing, Postal Code 100032
Example 2: After the coding system is launched, the Shanghai Futures Exchange needs to issue a new futures contract cu0712 and needs to ISIN-code the product. The process is as follows: First, cu0712 belongs to the futures category in terms of product category, so its product category code is F: Then check the ISIN code assigned by the terminal code system to the futures loan product in the most recent time, assuming it is CNF1A1345FG1 (where 1A1345FG is the sequence code of the ISIN, and 1 is its digital check code). According to the above-given sequence coding method: 1A1345FG The next sequence code is 1A1345FH, so the sequence code corresponding to cu0712 is 1A1345FH. Combined with the product category code F determined earlier, the ISIN code of the futures contract Cu0712 is CNFIA1345FH9. For example, there are two product applications submitted by the Shanghai Futures Exchange at the same time, namely cu0712 (copper December 2007 contract) and al0712 (aluminum December 2007 contract). Then, sort the products in order of the pinyin of the region to which they belong, the stock code of the listing place and the pinyin of the product name. Since the pinyin of the product abbreviation "aluminum" is before "copper", the sequence code of al0712 is 1A1345FH, and the pinyin of Cu0712 is 1A1345FI. Their corresponding ISIN codes are: CNF1A1345FH9 and CNF1A1345FI7. If the products submitted by Shanghai Futures Exchange and Dalian Commodity Exchange, such as cu0712 (copper December 2007 contract) and m0712 (soybean auction December 2007 contract), arrive at the coding agency at the same time, then according to the pinyin of the region to which the products belong, the listing place The stock codes and product names are sorted in alphabetical order. Since the phonetic symbol of the product location of m0712, Dalian, is before the phonetic symbol of the location of cu0712, Shanghai, m0712 is ranked before cu0712. The sequence code of m0712 is 1A1345FH, and the sequence code of cu0712 is 1A1345FI. Their corresponding ISIN codes are CNF1A1345FH9 and CNF1A1345FI7E, respectively. 2 Encoding examples of products listed before the coding system goes online Example 3: ISIN coding of Chendian International (600969), a stock that was listed on the Shanghai Stock Exchange before the system went online. Since Bangdian International's stock was listed and traded before the coding system was launched, it is a historical problem and will be handled according to the principle of new and old period separation. The process is as follows: Since Chendian International is a stock product, its product category code is E. In addition, before the system is launched, for all the stock products listed on my country's securities market, the coding agency will re-sort them in order according to the product listing time, the pinyin of the region to which the product belongs, and the securities code of the listing place. Assume that the sorting number of Chendian International in this sorting process is 002345AZ, which is the sequence code of Bangdian International. Combined with the product category code E determined earlier, the ISIN code of Bangdian International is CNE002345AZO (O is its digital check code)
If Bangdian International needs to transfer from the Shanghai Stock Exchange to the Shenzhen Third Board Market for trading for some reason, then its existing 6-digit local market code (600969) needs to be changed, but its ISIN code remains unchanged and is still CNE002345AZ0. 8
Appendix F
(Informative Appendix)
Information and Inquiry
GB/T21076—2007
For information and inquiries on the implementation of this standard and ISIN allocation, as well as the list of national coding agencies and designated agents, please contact the registration agency secretariat.
TSO6166 registration machine's daily work address is: Association of National Numbering AgenciesscrlMr, Alain Duhamel, Executive Secretaryc/o Euroclear France
115, rue Resumur
FR-T5081ParisCedex02
France
In China, the regular work address of this standard registration agency is! Certificate and Standard Registration Office
China Securities Regulatory Commission Information Center Building A, Fukai Building, No. 19 Financial Street, Xicheng District, Beijing, Postal Code 100032
Example 2: After the coding system is launched, the Shanghai Futures Exchange needs to issue a new futures contract cu0712 and needs to ISIN-code the product. The process is as follows: First, cu0712 belongs to the futures category in terms of product category, so its product category code is F: Then check the ISIN code assigned by the terminal code system to the futures loan product in the most recent time, assuming it is CNF1A1345FG1 (where 1A1345FG is the sequence code of the ISIN, and 1 is its digital check code). According to the above-given sequence coding method: 1A1345FG The next sequence code is 1A1345FH, so the sequence code corresponding to cu0712 is 1A1345FH. Combined with the product category code F determined earlier, the ISIN code of the futures contract Cu0712 is CNFIA1345FH9. For example, there are two product applications submitted by the Shanghai Futures Exchange at the same time, namely cu0712 (copper December 2007 contract) and al0712 (aluminum December 2007 contract). Then, sort the products in order of the pinyin of the region to which they belong, the stock code of the listing place and the pinyin of the product name. Since the pinyin of the product abbreviation "aluminum" is before "copper", the sequence code of al0712 is 1A1345FH, and the pinyin of Cu0712 is 1A1345FI. Their corresponding ISIN codes are: CNF1A1345FH9 and CNF1A1345FI7. If the products submitted by Shanghai Futures Exchange and Dalian Commodity Exchange, such as cu0712 (copper December 2007 contract) and m0712 (soybean auction December 2007 contract), arrive at the coding agency at the same time, then according to the pinyin of the region to which the products belong, the listing place The stock codes and product names are sorted in alphabetical order. Since the phonetic symbol of the product location of m0712, Dalian, is before the phonetic symbol of the location of cu0712, Shanghai, m0712 is ranked before cu0712. The sequence code of m0712 is 1A1345FH, and the sequence code of cu0712 is 1A1345FI. Their corresponding ISIN codes are CNF1A1345FH9 and CNF1A1345FI7E, respectively. 2 Encoding examples of products listed before the coding system goes online Example 3: ISIN coding of Chendian International (600969), a stock that was listed on the Shanghai Stock Exchange before the system went online. Since Bangdian International's stock was listed and traded before the coding system was launched, it is a historical problem and will be handled according to the principle of new and old period separation. The process is as follows: Since Chendian International is a stock product, its product category code is E. In addition, before the system is launched, for all the stock products listed on my country's securities market, the coding agency will re-sort them in order according to the product listing time, the pinyin of the region to which the product belongs, and the securities code of the listing place. Assume that the sorting number of Chendian International in this sorting process is 002345AZ, which is the sequence code of Bangdian International. Combined with the product category code E determined earlier, the ISIN code of Bangdian International is CNE002345AZO (O is its digital check code)
If Bangdian International needs to transfer from the Shanghai Stock Exchange to the Shenzhen Third Board Market for trading for some reason, then its existing 6-digit local market code (600969) needs to be changed, but its ISIN code remains unchanged and is still CNE002345AZ0. 8
Appendix F
(Informative Appendix)
Information and Inquiry
GB/T21076—2007
For information and inquiries on the implementation of this standard and ISIN allocation, as well as the list of national coding agencies and designated agents, please contact the registration agency secretariat.
TSO6166 registration machine's daily work address is: Association of National Numbering AgenciesscrlMr, Alain Duhamel, Executive Secretaryc/o Euroclear France
115, rue Resumur
FR-T5081ParisCedex02
France
In China, the regular work address of this standard registration agency is! Certificate and Standard Registration Office
China Securities Regulatory Commission Information Center Building A, Fukai Building, No. 19 Financial Street, Xicheng District, Beijing, Postal Code 100032
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